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Sustainable Development Goals Series
Peace and Justice, Strong Institutions

Romola Adeola Editor

National Protection
of Internally
Displaced Persons in
Africa
Beyond the rhetoric
Sustainable Development Goals Series
World leaders adopted Sustainable Development Goals (SDGs) as part of the
2030 Agenda for Sustainable Development. Providing in-depth knowledge,
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More information about this series at http://www.springer.com/series/15486

Romola Adeola
Editor

National Protection
of Internally Displaced
Persons in Africa
Beyond the rhetoric
Editor
Romola Adeola
Centre for Human Rights
University of Pretoria
Pretoria, South Africa

ISSN 2523-3084     ISSN 2523-3092 (electronic)

Sustainable Development Goals Series
ISBN 978-3-030-66883-9    ISBN 978-3-030-66884-6 (eBook)
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Acknowledgements

The support from the Global Engagement Network on Internal Displacement

in Africa (GENIDA) (EP/T003227/1) and the Interdisciplinary Network on
Internal Displacement, Conflict and Protection INDCaP (AH/T005351/1)
projects, funded by the UK Research and Innovation Global Challenges
Research Fund, is acknowledged.
The kind support of the professional team at Springer is appreciated.
Special appreciation goes to Zachary Romano for leading the editorial pro-
cess and to Joseph Quatela, Herbert Moses and Gowdham Santhanam for
their excellent editorial support.

v
Contents

1 Introduction���������������������������������������������������������������������������������������� 1
Romola Adeola
2 Towards a Legal Framework on Internal Displacement
in South Sudan ���������������������������������������������������������������������������������� 5
Rose Mwebi
3 Mediating Protection of Forcibly Displaced Populations
in the Frontlines of the Central African Republic�������������������������� 13
Walters Samah
4 The Adequacy of Law and Policy Frameworks on Internal
Displacement in Ethiopia: A Critical Appraisal������������������������������ 27
Enguday Meskele Ashine
5 Beyond Accountability and Eminent Domain: Development
Rights and Development-Induced Displacement in Kenya������������ 37
Nelly C. Rotich
6 A Review of Land and Property Rights of Internally
Displaced Persons in Zimbabwe: Steps Towards Restitution�������� 47
Nqobizitha Ndlovu and Enyinna S. Nwauche
7 Internally Displaced Children in Nigeria: A Rights-Based
Situational Appraisal ������������������������������������������������������������������������ 65
Olanike Adelakun
8 Straddled Between Government Forces and Armed
Separatists: The Plight of Internally Displaced Persons
from the Anglophone Regions of Cameroon������������������������������������ 73
Walters Samah and Emmanuel Sunjo Tata
9 National Protection of Internally Displaced Persons
in Africa: Law and Policy Beyond the Rhetoric������������������������������ 93
Romola Adeola

Index���������������������������������������������������������������������������������������������������������� 109

vii
 Introduction
Romola Adeola
Realising the sustainable development goals
requires significant attention to the protection of
various categories of persons within national
contexts. Integral to this process is the need to
ensure that law and policy responses are
developed that take into account the need to
ensure that ‘no one will be left behind’ (UN
General Assembly 2015) in the furtherance of
devising long-term sustainable goals. However,
achieving this requires a significant understanding
of the pertinent challenges of various groups
including internally displaced persons (IDPs).
This edited book focuses on this category of
persons, considering national protection of IDPs
in Africa.
Over the last decades, the protection of IDPs
has become a pertinent issue for which significant
solutions are required. Across various countries
of the world, and also in Africa, the extent to
which IDP issues are not properly addressed has
begun to raise significant concerns. With data
also reflecting the fact that more people are
displaced within state borders than externally, the
urgency of solutions have become fundamental.
The absence of sustainable solutions has, in many
instances, led to protracted displacement with
IDPs left in precarious conditions for many years
without adequate rehabilitation centred around
R. Adeola (*)
Centre for Human Rights, Faculty of Law, University
of Pretoria, Pretoria, South Africa
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
R. Adeola (ed.), National Protection of Internally Displaced Persons in Africa, Sustainable
Development Goals Series, https://doi.org/10.1007/978-3-030-66884-6_1
1
their effective participation. Increasingly, there is
a call to pay attention to the peculiar needs of
IDPs given the fact that these persons are within
state borders and, as such, are often in dire need
of protection and assistance where adequate mea-
sures are not taken to ensure that they are signifi-
cantly safeguarded. This has led to global
discussions. Evidently inherent in the narrative of
global governance on the issue is a tension
between state sovereignty and obligations that
resonate from international commitments.
However, with the emergence of the notion of
sovereignty as responsibility and the acceptance
of the responsibility to protect doctrine within the
African regional context, for instance, the perti-
nence of protection beyond state-centric ide-
ations has emerged. While much of these have
been orchestrated from the point of strategic
direction and diplomacy, it has had the effect of
increasing awareness on national-level gover-
nance measures.
While there has been pertinent attention to
the issue of refugee protection, not much atten-
tion has been paid to the furtherance of IDP
issues. The essence of scholarship on internal
displacement resonates from the need to advance
sustainable solutions to the protection and assis-
tance of IDPs, through critical reflections on the
issue. A pertinent area where this has become
imperative is in the context of national protec-
tion of IDPs. Understanding what national
mechanisms exist in the furtherance of IDP pro-
1
2 R. Adeola
tection and assistance is crucial in building
effective structures at this level of governance
where solutions are most required. Evidently,
such structures at national level are of primary
importance given the fact that it is at this level
that the primary test of protection and assistance
to IDPs resonates. And obviously, this is where
a significant amount of activities on IDP protec-
tion and assistance is carried out as states have
primary responsibility for addressing IDP
issues.
Globally, in response to the peculiar chal-
lenges experienced by this category of persons, a
framework was developed in 1998 which seeks to
provide comprehensive protection leveraging on
the complex web of norms, notably in the context
of international human rights and humanitarian
law (UN Guiding Principles on Internal
Displacement 1998). This framework provides
an optics from which to explore adequate
protection and assistance for IDPs, particularly in
view of its recognition of various root causes of
internal displacement beyond armed conflict and
its specific protection measures that are relevant
to the peculiar IDP context. Besides providing a
context for the emergence of global efforts on
internal displacement, the global framework has
influenced the development of regional norms on
internal displacement in Africa, notably: the
Protocol on the Protection and Assistance of
Internally Displaced Persons (2006) and the
African Union Convention for the Protection and
Assistance of Internally Displaced Persons in
Africa (2009) (Kampala Convention). Through
this framework, the regional discourse on internal
displacement has gained attention, evidently in
view of the fact that they accentuate binding legal
obligations on states for the furtherance of IDP
safeguards and consequently require national-­
level action.
This edited volume engages the issue of IDP
protection with specific attention on various
national contexts. The aim of this edited book is
to provide context-based engagement on the
subject of internal displacement across countries
in Africa. A synopsis of the chapters in this book
is provided in the next section.
1 Outline of Chapters
This book examines the issue of internal dis-
placement, reflecting on national perspectives to
build knowledge on the furtherance of protection
and assistance of IDPs. Each of the chapters in
this book draws on significant context-­ based
knowledge and on the issues. There are nine
chapters in this book. Chapter 1 provides a back-
ground to the discussion.
In Chap. 2, Rose Mwebi examines the emer-
gence of the normative framework on internal
displacement in South Sudan. The author consid-
ers the process of formation of the national legal
framework, reflecting on the opportunities pre-
sented by the regional framework for the further-
ance of protection and assistance to IDPs in
South Sudan.
In Chap. 3, Walters Samah considers IDP pro-
tection from the perspective of humanitarian medi-
ation. Drawing on the Central African Republic,
he considers how protection for IDPs may be
mediated. This chapter examines how actors on
the humanitarian scene are engaging in the further-
ance of IDP safeguards through mediation, spe-
cifically humanitarian mediation as a means of
overcoming humanitarian access concerns.
In Chap. 4, Enguday M. Ashine reflects on the
national protection of IDPs in Ethiopia. The
chapter reflects on the existing gaps and how
these gaps may be addressed through a rights-­
based approach to the furtherance of IDP
protection. Moreover, with the ratification of the
Kampala Convention in Ethiopia, the author
argues that it is pertinent to reflect the tenets of
this instrument within the domestic regime, more
concretely.
In Chap. 5, Nelly C. Rotich reflects on the
issue of development projects and internal
displacement. With specific reference to Kenya,
this chapter examines the duty to protect the right
of IDPs development, while also considering the
benefits of development projects. She concludes
that there is a need for compliance with relevant
standards, including standards on IDP protection
in order to protect persons displaced by develop-
ment projects.
1 Introduction
In Chap. 6, Nqobizitha Ndlovu and Enyinna
S. Nwauche review the domestic laws and poli-
cies in Zimbabwe relevant to the land and prop-
erty rights of IDPs. This chapter makes the
pertinent point that in the absence of a specific
normative framework on IDPs, the 2013
Constitution of Zimbabwe provides a basis for
rights-based protection flowing from the Bill of
Rights.
In Chap. 7, Olanike Adelakun considers the
protection of children in the context of internal
displacement, with specific reference to Nigeria.
Drawing on data generated through field study,
the author examines the protection of specific
rights of internally displaced children across
camps in the northern region of Nigeria affected
by the Boko Haram conflict. The author empha-
sises the importance of strengthening national
protection on internal displacement and the need
for structural arrangements particularly to
address the societal dimensions on IDP protec-
tion and assistance.
In Chap. 8, Walters Samah and Emmanuel
S. Tata examine the situation of IDPs in the
Anglophone region of Cameroon. The authors
significantly reflect on the crisis in the region of
the state, considering the humanitarian effect of
the crisis and how it relates to the broader politi-
cal debate around the Anglophone problem in
3
Cameroon. While the authors reflect on the mea-
sures taken by the state and the extent of its effec-
tiveness, they argue for an end to the violence
through a deliberative process involving various
levels of governance.
In Chap. 9, Romola Adeola examines national
protection of IDPs in Africa, reflecting on law
and policies across the continent. This chapter
examines what has been done in various national
contexts and how protection may be enhanced in
the furtherance of the global and regional frame-
works on internal displacement.
References
African Union Convention for the Protection and
Assistance of Internally Displaced Persons in Africa,
adopted at the Special Summit of the African Union
Heads of States and Government in Kampala, Uganda
(19-23 October 2009)
International Conference on the Great Lakes Region
Protocol on the Protection and Assistance of Internally
Displaced Persons (2006)
UN Commission on Human Rights, Addendum, ‘Guiding
Principles on Internal Displacement’ Report of
the Representative of the Secretary-General, Mr.
Francis M. Deng, submitted pursuant to Commission
on Human Rights resolution 1997/39, UN Doc. E/
CN.4/1998/53/Add.2 (11 February 1998)
UN General Assembly Transforming our world: the 2030
Agenda for Sustainable Development, UN Doc A/
RES/70/1 (21 October 2015)
 Towards a Legal Framework
on Internal Displacement in South
Sudan
Rose Mwebi
Abstract
In 2018 on the 20th anniversary of the 1998
UN Guiding Principles on Internal
Displacement (Guiding Principles), South
Sudan moved forward with development of
a national law, namely the “Protection and
Assistance to Internally Displaced Persons
Act 2019” for the protection and assistance
of internally displaced persons (IDPs),
based on the Guiding Principles and the
African Union Convention for the Protection
and Assistance of Internally Displaced
Persons (Kampala Convention). Although
the finalised draft legislation is yet to be
adopted by the Government as at September
2020, the initiative represents an important
step towards development of a legally bind-
ing national instrument of protection for
IDPs. This chapter considers the process of
developing the national law and how the
draft national legislation provides for pro-
tection of IDPs.
The views expressed in this chapter are those of this
author.
R. Mwebi (*)
UNHCR Senior Policy/Humanitarian Advisor
(seconded to IGAD), Juba, South Sudan
e-mail: mwebi@unhcr.org; rose.mwebi@igad.int
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
R. Adeola (ed.), National Protection of Internally Displaced Persons in Africa, Sustainable
Development Goals Series, https://doi.org/10.1007/978-3-030-66884-6_2
2
Keywords
Internally displaced persons · Internal
displacement · Law · Protection · South
Sudan
1 Introduction
In 2018, on the 20th anniversary of the 1998
Guiding Principles on Internal Displacement, the
Republic of South Sudan, which gained indepen-
dence in July 2011, embarked on a journey to
develop a national legislation, “The Protection
and Assistance to Internally Displaced Persons
Act 2019” based on the 1998 Guiding Principles
on Internal Displacement (Guiding Principles)
(United Nations 1988) and the 2009 African
Union Convention for Protection and Assistance
of Internally Displaced Persons in Africa
(Kampala Convention) (African Union 2009).
As the product of a 1-year deliberations and
consultations with Government, partners and
internally displaced persons (IDPs), the national
legislation represents the first significant effort to
transform the Guiding Principles (United Nations
1998) and the Kampala Convention (African
Union 2009) into a legally binding instrument of
protection for IDPs in South Sudan. Even as the
process of developing the national legislation
5
6 R. Mwebi
was under way, South Sudan acceded to the
Kampala Convention (African Union 2009) on
29 May 2019 becoming the 28th State in Africa
to ratify the instrument (African Union 2009).
While the national legislation expresses a nor-
mative dimension in re-establishing the social
contract to protect between the government and
its people, there has to be a lasting peace in South
Sudan for effective implementation of the
national legislation. In the absence of peace, the
law will not be of benefit to the people of South
Sudan. Indeed, efforts by the Government to
address the root causes of the conflict in South
Sudan were revived in 2017, when the leaders of
the Inter-Governmental Authority on
Development endorsed the creation of a High-
Level Revitalization Forum to bolster the essen-
tially obsolete 2015 Agreement on the Resolution
of the Conflict in the Republic of South Sudan
(ARCSS) (Inter-Governmental Authority on
Development 2015). This development presented
a window of opportunity for the United Nations
High Commissioner for Refugees (UNHCR) and
International Committee of the Red Cross (ICRC)
to renew advocacy for South Sudan’s accession
to the Kampala Convention (African Union
2009) which had been delayed, due to the civil
war of December 2013.
The High-Level Revitalization Forum (HLRF)
led to the signing of the Revitalized Agreement
on the Resolution of the Conflict in South Sudan
(R-ARCSS) (Inter-Governmental Authority on
Development 2018) in September 2018 and has
resulted in the formation of a Revitalised
Transitional Government of National Unity
(R-TGoNU), providing new opportunities to
address the root causes of the civil war in South
Sudan (United Nations Security Council 2019).
The R-ARCSS (Inter-Governmental Authority
on Development 2018) addresses humanitarian
assistance and reconstruction in Chap. 3, which
provides for the rights of IDPs to return in safety
and dignity, and tasks the R-TGoNU to institute
programs for relief, protection, repatriation,
resettlement, reintegration, and rehabilitation of
IDPs and returnees in coordination with the
United Nations and other relief and humanitarian
agencies, and to offer special consideration to
conflict-affected persons (Inter-Governmental
Authority on Development 2015). The elabora-
tion of a national legislation on IDPs for South
Sudan, at this time, was seen as timely, in light of
the R-ARCSS (Inter-Governmental Authority on
Development 2015), which lays emphasis on the
need for solutions for both IDPs and refugees.
Thus, the national legislation on IDPs is to enable
the Government to better prevent instances of
internal displacement, provide enhanced protec-
tion and assistance to IDPs and enable achieve-
ment of durable solutions.
Such steps, while commendable, come at a
time when there is still widespread insecurity in
the country and violence towards IDPs as evi-
denced by the United Nations Security Council
Resolution on South Sudan (United Nations
Security Council 2020). An estimated 1.6 million
South Sudanese are internally displaced (United
Nations Office for the Coordination of
Humanitarian Affairs 2020), approximately
200,000 of them living in United Nations
Protection of Civilian (PoC) sites, seeking protec-
tion. Also, over 2.2 million displaced South
Sudanese have sought refuge in neighbouring
countries (United Nations High Commissioner
for Refugees 2019a). The current wave of dis-
placement in South Sudan is a result of the con-
flict that arose in 2013 and further localised
violence across the country, which culminated in
another major conflict in Central Equatoria State
in July 2016. Although the conflict in July 2016
seemingly lacked the intensity of fighting experi-
enced in 2013, the number of reports on gross vio-
lations of human rights, including summary
killings, rapes and other forms of Sexual and
Gender-Based Violence (SGBV) targeting civil-
ians attributed to members of organised military
forces, raised significant alarm within the human-
itarian community (United Nations Security
Council 2018). Many IDPs continue to face vul-
nerabilities resulting from the conflict and post-
conflict situation, with women and children
bearing the impact of suffering and violence
(United Nations Security Council 2019), while
their rights to access basic services—food, water,
shelter and health care—are not adequately met
due to the magnitude of needs and dwindling
2 Towards a Legal Framework on Internal Displacement in South Sudan
humanitarian funding. (United Nations Office for
the Coordination of Humanitarian Affairs 2020).
The nature of this situation has made the
development of a draft national legislation an
imperative in protecting and assisting IDPs. This
chapter reflects on the development process of
the national legislation on IDPs.
2 Developing the Draft
National Legislation
The development of the national legislation was
an initiative of the Government through its
Ministry of Humanitarian Affairs and Disaster
Management (MHADM), aimed at ending years
of displacement and strengthening its national
legal system for the protection of IDPs. As such,
MHADM led the process with the support of
UNHCR and contribution of various
stakeholders.
Throughout the process of developing the law,
UNHCR provided technical support to the
Government. Chaloka Beyani was the
Government and UNHCR expert for drafting of
the national legislation and tapped into local
expertise at the MHADM, Return and
Rehabilitation Commission (RRC) of South
Sudan and partners. Prior to commencement of
the drafting process, the South Sudan Law
Society undertook legal review to identify gaps in
the national laws relating to IDP protection, pro-
viding critical recommendations on legal gaps to
be addressed in drafting the national legislation.
Developing the national legislation built on a
participatory process akin to the process of draft-
ing the Kampala Convention (African Union
2009), most notably the principles of participa-
tion, inclusiveness, partnerships and ownership
(Beyani 2006). The core goal of the participatory
consultations was to identify the needs of IDPs
and challenges to state responses in order to
determine how the legislation should respond to
the needs and challenges. The global initiative on
internal displacement (GP20) Plan of Action and
the South Sudan GP20 Action Plan provided the
necessary platforms for such consultations. Thus,
the coordination platform established under the
7
South Sudan GP20 served as the mechanism for
steering the development of the legislation. In
addition to the South Sudan GP20 forum, exist-
ing networks such as the Humanitarian Country
Team (HCT), Inter-Cluster Working Group
(ICWG) and Protection Cluster (PC) coordina-
tion mechanisms, provided an added advantage.
The process of elaborating the legislation
began in earnest in 2018 when the Government
and UNHCR jointly convened a workshop on law
making for IDPs, with the country’s two parlia-
mentary Committees of Human Rights and
Humanitarian Affairs, and Legislation and
Justice, playing a key role. The aim of the work-
shop was to help build capacity of the actors on
law and policy, in order to boost their participa-
tion in the process. That workshop sealed the
marriage of convenience between political will
and law making for IDPs. It ended with a half-
day validation event during which representatives
of the Government, South Sudan GP20 partners
and other members of the Inter-Agency coordina-
tion mechanisms in South Sudan contributed to
key areas of the legislation and its provisions.
The participation of line ministries at the techni-
cal level at the workshop provided practical
insights on coordination and delivery of protec-
tion and assistance, thus guiding formulation of
the legislation. In the validation event, the work-
shop and validation event had been planned to
seek further inputs from middle and senior gov-
ernment authorities who also reviewed the out-
comes of the workshop and provided additional
perspectives towards the initial draft of the legis-
lation. The donor community and designated
officials from government ministries and parlia-
ment had positive reviews of the progress made
during the workshop. Participation of IDPs was
key to the process, and in particular, active par-
ticipation of IDP women ensured that their spe-
cific protection concerns and solutions challenges
were well articulated in the legislation. The right
to participation of IDP women was also high-
lighted in UNHCR research undertaken in South
Sudan and Niger that indicates that a lack of
meaningful participation of internally displaced
women in decision-making and law-making pro-
cesses often contributes to their disempowerment
8 R. Mwebi
and even marginalisation (United Nations High
Commissioner for Refugees 2019b).
A roundtable was convened in Juba that vali-
dated the zero draft of “The Protection and
Assistance to IDPs Act 2019” resulting from the
above workshop and validation event. The round-
table was convened by MHADM and UNHCR
and attended by humanitarian and development
partners, academia, African Union (AU) repre-
sentatives, civil society organisations and repre-
sentatives of IDPs, both men and women.
Consultations on the draft legislation during this
event were aligned to the Guiding Principles (UN
High Commissioner for Refugees 1988) and the
Kampala Convention (African Union 2009) with
respect to: Obligations of State Parties relating to
Protection from Internal Displacement (Principle
19 and Article 4), Protection and Assistance
During Internal Displacement (Kampala
Convention Article 9) and Sustainable Return,
Local Integration or Relocation (Kampala
Convention Article 9).
For example, when considering obligations for
protection from displacement, within the prohib-
ited categories of arbitrary displacement enumer-
ated in Article 4, an internally displaced woman
who had suffered multiple displacements due to
the conflict raised the question of national respon-
sibility to protect and effectiveness of early warn-
ing systems. It was recommended to stregthen
early warning systems to enable identification of
threats, with the aim of managing, resolving or
preventing violent conflict. Discussions on protec-
tion during displacement as provided by Article 9
of the Kampala Convention (African Union 2009)
encompassed mechanisms for coordination of pro-
tection and assistance and adequacy of state
responses. It was resolved that effective coordina-
tion for protection and humanitarian assistance for
IDPs requires a multi-tiered, inter-ministerial
approach, to meet the coordination needs. In addi-
tion, an inter-sectoral platform would facilitate
improved planning, assessment and prioritisation
of needs across the responses. The composition of
the national level inter-­ sectoral forum would
include all relevant stakeholders with participation
of South Sudan National Human Rights
Commission to strengthen monitoring mecha-
nism. Participation of representatives of various
groups of IDPs including women and children of
diverse backgrounds in the coordination of the
planning and response would be facilitated through
regular field visits and their involvement in
national and state level coordination meetings. It
was important to ensure that the draft legislation
establishes a focal point for the coordination of
protection and assistance for IDPs. The legislation
iterates the role of RRC as focal body in protection
and assistance of IDPs to mirror the Return
Resettlement and Rehabilitation (RRC) Act of
2016 (Government of South Sudan 2016) with
overall strategic responsibility of the MHADM.
Similarly, based on the Guiding Principles
(UN High Commissioner for Refugees 1998) and
the Kampala Convention (African Union 2009)
that substantively provide for durable solutions,
there were discussions around a stronger role of
Government in enabling free choices of IDPs in
durable solutions. In this respect, return should
be planned in such a way that it reflects the cause
of displacement, intention of IDPs and integra-
tion needs in return areas such as systems for the
furtherance of rule of law, provision of basic ser-
vices and mechanisms for reconciliation. Further,
the roundtable discussed challenges to achieving
durable solutions such as inadequate measures
for resolving housing, land and property (HLP),
and to this end, recommended strengthening
capacities of government institutions to respond
to IDPs and host communities’ needs in reinte-
gration. In this regard, it was noted that while
there are existing national laws that afford pro-
tection to IDPs, for instance, as citizens, there
were challenges relating to inconsistencies
between law and practice in addition to institu-
tional challenges.
The legislation received comments and
reviews from a variety of stakeholders, under an
approach of inclusiveness and participation,
which allowed the expert to refine the zero draft
legislation. Further, bilateral consultations
allowed inter-ministerial committees and experts
in law and policymaking from Government to
play a key role in the drafting process.
Clarification on roles and responsibilities of line
ministries and commissions in coordination of
2 Towards a Legal Framework on Internal Displacement in South Sudan
protection and assistance to IDPs was further
elaborated in the legislation.
A final stride in developing the legislation was a
seminar co-organised by the MHADM, UNHCR
and the University of Juba to sensitise the public on
the legislation and its role in addressing internal
displacement. The seminar was able to further
build on the participatory process of developing the
legislation through participation of senior govern-
ment officials and a range of stakeholders. Such
participation included key architects of law-mak-
ing process in South Sudan including the author of
the Guiding Principles, Dr. Francis Deng, Dr.
Chaloka Beyani, UN agencies, AU representatives,
human rights and humanitarian NGOs, women and
youth groups, academia and civil society organisa-
tions. The role of civil society in raising awareness
on the plight of IDPs as well as its capacity for
direct and rapid engagement with IDP communi-
ties was stressed during this event, providing
important insights on broader issues of protection
and assistance to IDPs. Likewise, the important
role of human rights institutions was highlighted
and encouraged.
3  pportunities Presented by
O tional community to support the state in realising
the Legislation
The scope of protection and assistance in the law
aligns with the Guiding Principles (United
Nations 1998): from prevention through to dura-
ble solutions for IDPs. In addition, the legislation
includes discussions on peace and transitional
justice and provides for incorporation of provi-
sions of the Kampala Convention (African Union
2009) in the on-going implementation of the
R-ARCSS (Inter-Governmental Authority 2018).
Drawing from the Kampala Convention (African
Union 2009), the draft legislation acknowledges
and recognises the possibility of holding non-state
actors accountable for human rights violations. It
requires the state to exercise criminal jurisdiction
over individuals who cause displacement. This is an
important provision noting the general develop-
ments on individual responsibility and accountabil-
ity in the Kampala Convention (African Union
9
2009) and in international law generally (Orchard
2016).
The legislation clarifies who an IDP is in line
with the Guiding Principles (United Nations
1998) and the Kampala Convention (African
Union 2009), the rationale for creating the IDP
category, being merely that of highlighting the
specific vulnerabilities of the populations, which
was deemed helpful for courts and practitioners.
Further, the draft legislation clarifies that IDPs
are citizens of the country, having the same rights
granted to citizens and residents under national
laws and the Constitution of the country. In this
respect, the notion of “internal displacement”
does not entail the creation of a new legal cate-
gory. The draft legislation goes further to clarify
the definition of host communities and popula-
tions affected by displacement, to avoid leaving
the categories to broad interpretations.
The draft national legislation, in parallel with
the Guiding Principles (United Nations 1998)
and the Kampala Convention (Kampala
Convention 2009), reaffirms economic, social
and cultural rights of IDPs as with the primary
responsibility of the State to implement these
rights, while also providing a role for the interna-
the rights. Within the context of protection for
internally displaced women, the legislation
adapts international protection benchmarks to
suit local conditions, particularly in the areas of
property restitution, and property rights of
women and children born out of wedlock.
The legislation also creates an inter-­ministerial
coordination mechanism under the auspices of the
Office of the President, thus providing an opportu-
nity to implement the law and strengthen state
responses to internal displacement as discussed
during the roundtable consultations.
Beyond the enumerated protection in the
Kampala Convention, the legislation includes
innovations such as area-based solutions, transi-
tional solutions, use of cash grants to support
resilience for IDPs and relocation from UN
Protection of Civilian (PoC) sites that are specific
to South Sudan context. The legislation further
links humanitarian and peace actions with long-
term socio-economic development within the
10
Sustainable Development Goals (SDGs).
Furthermore, the legislation introduces the doc-
trine of “civilian and humanitarian character” of
IDP by drawing on applicable legal frameworks,
in particular international humanitarian law, in
order to promote protection of IDPs in the cause
of displacement.
Moreover, noting that many states that have rati-
fied the Kampala Convention often lack means of
fully domesticating the treaty, the legislation estab-
lishes an integrated fund for implementation of the
legislation and strategies for resource mobilisation
to ensure that funding for IDPs is obtained beyond
the emergency phase. The proposed fund will be
financed by budgetary provision and a percentage
of revenue from the proceeds of oil by the
Government. In establishing the Fund, the legisla-
tion reinforces the funding mechanism for imple-
mentation of Chap. 3 of the R-ARCSS
(Inter-Governmental Authority on Development
2018) which establishes a Special Reconstruction
Funding to bolster programmes for return, reloca-
tion and reintegration of South Sudanese refugees
and IDPs.
4 Conclusion
The development of the draft national legislation
on internal displacement in South Sudan is nota-
ble and constitutes a valuable example of imple-
menting the Guiding Principles and the Kampala
Convention. Together with the R-ARCSS (Inter-
Governmental Authority on Development 2018),
the legislation contributes to advancing the
regime on conflict prevention and peace and
implementing comprehensive solutions consis-
tent with relevant international standards includ-
ing the Global Compact on Refugees (United
Nation 2018). Such benefits, however, can only
be realised, if implementation is sustained.
Having significantly supported the collective
efforts in developing the legislation together with
the Government, I would offer the following sug-
gestions, as next steps in the furtherance of the
legislation:
R. Mwebi
• Mapping of stakeholdersand and their key
roles in advocacy towards adoption and imple-
mentation of the law.
• Developing of summary notes on the legisla-
tion to inform stakeholders and internally dis-
placed persons of its key provisions and
thematic areas.
• Conducting training sessions for parliamen-
tarians on their role in the process of adopting
the law and its implementation and capacity
building activities for relevant line ministries.
• Promoting inter-state learning through study
visits to neighbouring countries that have
made commendable national efforts in imple-
menting national legislations and policies on
internal displacement.
• Consultations with internally displaced per-
sons in the execution of protection and assis-
tance programmes and in implementing
durable solutions with attention to the protec-
tion needs of women, children and persons
with specific protection concerns.
• Stregthening coordination between the inter-­
ministerial committee and national mecha-
nisms linked to the South Sudan National
Human Rights Commission to identify the
service delivery gaps and how the provisions
of the legislation can provide advocacy to mit-
igate the gaps.
• Collaborative profiling exercise led by the
government, national bureau of statistics,
humanitarian and development partners
should inform advocacy strategies based on
research and positions based on common
evidence.
• Providing technical support to the inter-­
ministerial committee, RRC and transitional
mechanisms under the R-ARCSS (Inter-
Governmental Authority on Development
2018) to strengthen implementation.
• Providing technical support to line minis-
tries and lower level operational and techni-
cal inter-sectoral forums dedicated to the
humanitarian situation within government to
ensure that the national law permeates
2 Towards a Legal Framework on Internal Displacement in South Sudan
through the government and non-govern-
mental programmes.
• Designating a focal point in each ministry to
record activities for purposes of institutional
memory and to feed information to the inter-
ministerial coordination forum and RRC that
is designated as focal point under the
legislation.
• Promoting South Sudan’s participation in peer
exchanges on dealing with displacements and
durable solutions and development under the
auspices of the AU and other regional institu-
tions including IGAD, to foster solidarity
among the countries in the region.
References
African Union (2009), Kampala Convention and
ratifications at: https://au.int/en/treaties/african-­
union-­c onvention-­p rotection-­a nd-­a ssistance-­
internally-­displaced-­persons-­africa. Accessed on 27
June 2020
C. Beyani (2006), Recent Developments in the Treatment
and Protection of Internally Displaced Persons, LSE,
Law Dept. Working Paper 4-2006
GP20 (2018), GP20 Global Plan of Action at: http://www.
globalprotectioncluster.org/_assets/files/unhcr-­gp20-­
plan_of_action-­a5-­scren.pdf Accessed on 26 June
2020
Inter-governmental Authority on Development (2015),
Revitalised Agreement on the Resolution of the
Conflict in South Sudan (R-ARCSS) at: https://igad.
int/index.php?option=com_content&view=article&i
d=1193:agreement-­on-­the-­resolution-­of-­the-­conflict-­
in-­t he-­r epublic-­o f-­s outh-­s udan&catid=1:latest-­
news&Itemid=125 Accessed on 28 June 2020
Inter-governmental Authority on Development (2018),
Revitalised Agreement on the Resolution of the
11
Conflict in South Sudan (R-ARCSS) at: https://igad.
int/programs/115-­south-­sudan-­office/1950-­signed-­
revitalized-­a greement-­o n-­t he-­r esolution-­o f-­t he-­
conflict-­in-­south-­sudan Accessed on 28 June 2020.
United Nations Office for the Coordination of
Humanitarian Affairs (2020), Humanitarian Response
Plan at: https://reliefweb.int/report/south-­sudan/
south-­s udan-­h umanitarian-­r esponse-­p lan-­2 020-­
december-­2020 Accessed on 30 May 2020
Phil Orchard (2016), Global Responsibility to Protect,
Vol.8, No. 2-3
South Sudan GP20 (2018), South Sudan GP20 Concept
Note at: http://www.globalprotectioncluster.org/news-­
and-­events/gp20-­a ctivities-­a nd-­i nitiatives/south-­
sudan-­gp20-­concept-­note/ Accessed on 26 June 2020
United Nations (1988) res. 60/L.I, para. 132, UN doc.
A/60/L.I. Guiding Principles on Internal Displacement
at: http://www.internal-­displacement.org/internal-­
displacement/guiding-­p rinciples-­o n-­i nternal-­
displacement: Accessed on 30 June 2020
United Nation (2018), Global Compact on Refugees, at:
https://www.unhcr.org/5c658aed4.pdf Accessed on 28
June 2020
United Nations High Commissioner for Refugees (2019a),
Regional Refugee Response plan, at: https://www.
unhcr.org/refugee-­response-­plans.html Accessed on
28 June 2020
United Nations High Commissioner for Refugees (2019b),
Tearing Down the Walls: Confronting the Barriers to
Internally Displaced Women and Girls’ Participation
in Humanitarian Settings, at: https://data2.unhcr.org/
en/documents/details/70156 Accessed on 30 June
2020
United Nations Security Council (2019), SG’s 90-day
report on South Sudan” S/2019/491 at: https://
www.securitycouncilreport.org/un_documents_
type/secretary-­g enerals-­r eports/?ctype=South%20
Sudan&cbtype=south-­sudan Accessed on 30 May
2020
United Nations Security Council (2020), Resolution
2521(2020) at: https://www.un.org/press/en/2020/
sc14199.doc.htm
 Mediating Protection of Forcibly
Displaced Populations 3
in the Frontlines of the Central
African Republic

Walters Samah

Abstract humanitarian actors to communities in need of

Forcibly displaced populations are among the
most vulnerable and defenceless groups of
people in situations of armed conflict. Often,
their vulnerabilities are exploited by warring
parties, particularly non-state armed groups as
a deliberate tactic of war. Flagrantly disre-
garding International Humanitarian Law, non-­
state armed groups are increasingly targeting
civilians, and humanitarian actors and the con-
flicts they engage in have resulted in high
civilian casualties and massive human dis-
placement. According to the United Nations
High Commissioner for Refugees, Africa is
home to nearly a third of the world’s refugees
and Internally Displaced Persons with these
numbers soaring recently due to the crises in
the Central African Republic, South Sudan,
Burundi and Nigeria. Armed conflicts remain
the primary drivers of forced displacement. In
many of the conflict situations, humanitarian
workers face severe challenges in their quest
to access and offer protection to displaced
communities. A central factor to the effective-
ness of humanitarian action is access by
The views expressed in this chapter are those of this
author.
W. Samah (*)
African Union Mission in Somalia (AMISOM),
Mogadishu, Somalia
essential life-saving assistance and services.
Drawing examples from the Central African
Republic, this chapter looks into humanitarian
action during armed conflict and demonstrates
how aid organisations are increasingly turning
to humanitarian-driven mediation to over-
come the humanitarian access challenge and
protect displaced people.
Keywords
Internally displaced persons · Internal
displacement · Humanitarian mediation ·
Protection · Central African Republic
1 Introduction
The Central African Republic (CAR) is a land-
locked country that has been plagued by decades
of instability and violence since its independence
in 1960 (Global Conflict Tracker, Council on
Foreign Relations 2018). The most recent wave
of armed violence began in late 2012 when a pre-
dominantly Muslim rebel coalition known as
Séléka, led by Michel Djotodia launched a vio-
lent campaign that led to the overthrow of
President François Bozizé in March 2013
(Human Rights Watch 2013b). In the process of
seizing power, rogue rebels of the Séléka coali-

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 13

R. Adeola (ed.), National Protection of Internally Displaced Persons in Africa, Sustainable
Development Goals Series, https://doi.org/10.1007/978-3-030-66884-6_3
14
tion, which included mercenaries from Chad and
Sudan (Human Rights Watch 2014; Sayare 2013)),
committed abuses and atrocities against civilians
of the Christian majority in Bangui and other
regions including killing, looting, ransacking
property and burning churches.1 Consequently,
with the official dissolution of Séléka on 13
September 2013; followed by the resignation in
January 2014 of the CAR’s first Muslim leader
President Djototia, a mainly Christian self-­
defence militia, called anti-Balaka, emerged and
began attacking the country’s Muslim minority.
With Christians considered supporters of the
anti-Balaka and Muslims supporters of the for-
mer Séléka rebel coalition, the CAR’s conflict
quickly transformed from what was a political
conflict into a sectarian and inter-community
crisis. This prompted fears that such a danger-
ous move would lead to ethnic cleansing, evok-
ing memories of the 1994 Rwandan genocide
(Escoffier et al. 2014: 2; Amnesty International
2014). What followed were reprisal and counter-­
reprisal attacks that caused thousands of deaths,
massive population displacements and an
unprecedented protection crisis, characterised
by horrific human rights violations inflicted on
the civilian population by all the parties to the
conflict (Human Rights Watch 2014). These
attacks bore a heavy toll on the CAR’s Muslim
population as entire communities were wiped
out. The situation of Muslims in the CAR was
best captured by Peter Bouckaert, Emergencies
Director at the Human Rights Watch, who on 16
March 2014 reported that (Bouckaert 2014)
Baoro was once home to at least 4,000 Muslims
and more than a dozen mosques. Now there are
none. The last Muslims of Boali, where the local
Catholic priest sheltered 700 in his Church, left for
Cameroon. The last Muslims of Yaloke, where
more than 10,000 had lived, left for Chad. The last
Muslim in Mbaiki, Saleh Dido was murdered
recently by the anti-Balaka, his throat slit as he
tried to find shelter with police.
Even the presence of a 6000 strong African
Union (AU) peacekeeping force backed by French
1
Before the outbreak of the civil war, the CAR’s popula-
tion comprised of about 50% Christians, 15% Muslims
and 35% indigenous believers.
W. Samah
forces did not prevent the continuation of targeted
killings, looting and burning of homes and busi-
nesses. However, understanding the cycles of vio-
lence within the CAR goes deeper beyond the
religious or ethnic dichotomies. For decades,
political elites, driven by ‘self-interest, self-­
preservation and material gain,’ have manipulated
these identities in the pursuit of state power and
resources (Varin and Abubakar 2017: 150).
In response to the situation in the country, the
United Nations Multidimensional Integrated
Stabilization Mission in the Central African
Republic (MINUSCA) was established on 10
April 2014 under Chapter VII of the UN Charter
with the protection of civilians as its utmost pri-
ority (UNSC Resolution 2149). However, the
mission has not succeeded to deliver significant
improvements in security (Human Rights Watch
2017). As a result, there has been repeated and
continuing attacks against civilians, which have
led Doctors Without Borders to describe the UN
peacekeepers in the CAR as ‘roving, passive and
spectators’ (Gupta 2019). Worse still, some of
MINUSCA’s operations have themselves con-
tributed to displacements, thereby deepening
public mistrust towards the UN and the govern-
ment.2 This, coupled with the lack of an effec-
tively functioning State, makes the situation in
the CAR extremely challenging for aid workers
to provide life-saving assistance and services to
civilians in need.
However, an AU-brokered political agreement
negotiated in Khartoum and signed in Bangui on 6
February 2019 between the CAR President Austin
Archange Touadera and representatives of 14 rebel
groups brought renewed hope for peace, reconcili-
ation and stability. This peace deal is the eighth of
its kind since 2012 (Internal Displacement
Monitoring Centre 2019). On 15 November 2019,
the UN Security Council extended MINUSCA’s
mandate for 1 year until 15 November 2020 out-
lining some priority tasks for the mission such as
supporting the CAR’s ‘Peace Agreement and pro-
2
The populations often blame the UN peacekeepers for
firing on and killing civilians. For example, in April 2018,
a botched military operation by MINUSCA troops accom-
panied by the CAR security forces to forcibly disarm
Muslims in PK5 led to civilian casualties and
displacements.
3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic 15

tecting civilians amidst continued attacks by
armed groups’ (UNSC Resolution 2499).
Meanwhile, the humanitarian crisis resulting from
this conflict has called for proactive measures in
achieving humanitarian action, particularly for
Internally Displaced Persons (IDP). It is against
this background that this chapter examines how
humanitarian mediation has been utilised to
improve humanitarian access and in response to
the displacement situation.
2  he Forced Displacement
T the CAR fled to neighbouring Cameroon, Chad,
Context
The majority of the CAR’s Muslim community
in 2013, which was estimated at 15% of the total
population of 4.5 million, fled to the north-east of
the country in order to escape the violence and to
neighbouring Cameroon and Chad, while several
thousands were trapped in enclaves, schools and
religious compounds across the country (Human
Rights Watch 2013a). Separated by mutual fear
and suspicion, there was little hope for restoring
social cohesion between Muslim and Christian
communities in the CAR (Neal 2014: 14).
Elections in 2016 raised hope of an end to the
violence, but the opportunity for peace slipped
away when violence erupted again at the start of
2017. Indeed, the renewed violence led to wide-
spread displacement, with tens of thousands of
people fleeing their homes and a growing number
forced to escape to remote locations beyond the
reach of humanitarian organisations.
The year 2017 saw the security situation
worsen with intense violence and displacement
continuing into 2018 with clashes between armed
groups in Ouham Pende, Ouaka and Haut-Kotto
prefectures leading to the recorded 510,000 new
displacements (Internal Displacement Monitoring
Centre 2019). Statistics from the UN High
Commissioner for Refugees (UNHCR) indicate
that as of October 2019, 593,000 refugees from
the Democratic Republic of Congo, the Republic
of the Congo, Sudan and South Sudan while the
number of the IDPs was 600,000 (UN High
Commissioner for Refugees n.d.). As of
December 2019, at least 2.6 million people
needed humanitarian assistance (UN Office for
the Coordination of Humanitarian Affairs n.d.).
The UNHCR further indicated that insecurity
was affecting areas such as the centre northwest,
east and south-east of the CAR some of which
had not been affected by violence formerly (UN
High Commissioner for Refugees n.d.). The
evolving security situation remains bleak, raising
fears of further displacement within and beyond
the borders of the CAR. The figure below by the
Internal Displacement Monitoring Centre
(IDMC) maps the wave of displacement in the
CAR between 2009 and 2018 (Internal

Annual conflict and disaster displacement figures

1,000,000 1,000,000
New Displacements (Flow)

800,000 800,000
IDPs (Stock)

600,000 600,000

400,000 400,000

200,000 200,000

0 0
2009 2010 2011 2012 2013 2014 2015 2016 2017 2018
IDPs (Stock) New Displacements (Flow)
Conflict Disaster

Source: Internal Displacement Monitoring Centre (IDMC) –2019

Source: Internal Displacement Monitoring Centre (IDMC)—2019

16 W. Samah

Displacement Monitoring Centre 2019). Notably, with undefined end dates implying prolonged
displacement was at its peak in 2013 when the humanitarian need, poses a key challenge for
Seleka took over the capital, Bangui, installing itshumanitarian action that is usually programmed
leader Michel Djotodia as President and trigger- to be a short-term measure to ultimately pave the
ing the sectarian conflict that ensued. way for long-term development responses. To
overcome this challenge, humanitarian agencies
have begun to change strategy by not only offer-
3 Mediating Humanitarian ing emergency assistance but also addressing
Access in the CAR underlying root causes of conflict (Weiss and
Evans 2012: 83–84). To this end, some have been
In the post–World War II era, most wars have attempting to conduct post-conflict peace-­
been intra-state as opposed to the inter-state wars building demonstrated by the ‘desire to spread
of the first half of the twentieth century. Usually development, democracy, and human rights’
asymmetric, these intra-state wars are character- while creating ‘stable, effective and legitimate
ised by the increased participation of armed non-­ States’ (Weiss and Evans 2012: 83–84).
state actors who often disregard the laws of Furthermore, to overcome new challenges
armed conflict, and this presents a new challenge related to delivering aid and protecting victims of
to humanitarian action particularly humanitarian violent conflict, some humanitarian entities have
access. As a consequence, humanitarian actors come to realise the necessity to adopt more flex-
are increasingly finding themselves on new fron- ible and adaptable ‘operating principles’ and
tiers requiring engagement with non-state armed ‘styles’ (Weiss and Evans 2012: 70). This has led
groups in order to access and offer assistance and to, among other factors, the acknowledgement of
protection to civilians in need (Mc Hugh and the need for ‘mediation on a humanitarian basis’
Bessler 2006). The worsening security situation in contexts where political dialogue or face-to-­
in the CAR has continued to pose difficulty in face negotiation has proven to be a challenge
accessing civilians who increasingly became vic- (Centre for Humanitarian Dialogue n.d.).
tims of the violence. The security and humanitar- Mediating among non-state armed groups thus
ian situation in the country is further compounded becomes one of the critical entry points to reach
by the fact that humanitarian workers are also and deliver the much-needed assistance to those
targets of these armed groups. In 2017, the CAR in need.
became one of the world’s most dangerous places A relatively new concept, humanitarian medi-
in which to deliver humanitarian assistance, with ation is different from political mediation and
265 incidents targeting humanitarian actors and other forms of humanitarian engagements, such
14 aid workers killed (Kleinfeld 2018a, b). as humanitarian negotiation.3 It denotes a volun-
Humanitarian actors are thus finding themselves tary and inclusive process that seeks to address
in complex operational environments, and there- humanitarian concerns in an emergency context,
fore, it is becoming increasingly and urgently by which a neutral, impartial and independent
critical that the international humanitarian archi- actor assists conflicting parties to establish or re-­
tecture finds innovative ways to deliver its establish communication in order to find a solu-
mandate. tion to their problem (CCHN 2016: 11–13). By
Humanitarian action in the CAR is further engaging all parties to a conflict without bias, the
undermined by the gross underfunding of the
international humanitarian response, difficulties 3 It is not uncommon for humanitarian organisations to
in coordination of humanitarian action, weak engage with armed groups. However, while humanitarian
local capacities, and uneven distribution of fund- negotiation mostly focuses on non-state armed actors to
protect their operations, humanitarian mediation proac-
ing across the region (Norwegian Refugee tively seeks to engage closely with all relevant stakehold-
Council and Internal Displacement Monitoring ers to protect not only their operations but also those of
Centre 2014). The transformed war landscape, other actors as well as civilians.
3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic
humanitarian mediation process seeks to provide
a space for everyone to discuss and resolve their
grievances. Jacob Bercovitch and Richard
Jackson note that mediation is ‘humanitarian’
when its objective is to ease the suffering of peo-
ple and further to act in the face of increasingly
brutal wars (Bercovitch and Jackson 2009).
Linked to humanitarian mediation is insider
mediation, which draws upon the abilities of
trusted institutions or individuals within a con-
flict environment. The concept emerged from the
recognition that key actors in communities at risk
of conflict must be equipped with the appropriate
skills for mediation and dialogue (United Nations
Development Programme 2014). Insider media-
tors may include community, religious organisa-
tions, political leaders and state authorities who
are trusted and respected by the community. They
bring with them a greater level of legitimacy, cul-
tural closeness with the parties, and the ability to
convene all relevant stakeholders, including those
impacted by the conflict.
3.1  he Case of the Danish
T
Refugee Council
With the return of armed violence in late 2012
followed by the March 2013 coup d’état, the
DRC expanded its activities in the country in
order to strengthen its protection capacities and
enable durable solutions to displacement chal-
lenges.4 In early 2014, the DRC began
­implementing a humanitarian engagement proj-
4
In 2014 the DRC scaled up its emergency activities in the
CAR by developing a social cohesion project to respond
to the growing needs of displaced and other conflict-
affected populations. The project was launched in Bangui,
and its primary objective was to promote peaceful co-
existence among communities torn apart by conflict
before expanding to several provinces. This was done by
strengthening local institutions, including mediation com-
mittees and enhancing local capacity for addressing safety
needs and conflict-related issues, setting up community
security plans, promoting a culture of peace and non-vio-
lence through an awareness campaign and developing
conflict management skills, especially among the youth.
The social cohesion project was complemented by the
Emergency Mediation and Dialogue Facilitation Project.
17
ect in the CAR known as emergency mediation
and dialogue facilitation. This was a third-party
neutral humanitarian mediation initiative funded
by the European Union (EU)‘s Common
Humanitarian Fund (CHF)5 and the European
Commission’s Civil Protection and Humanitarian
Aid Operations. The main aims of the project
were to (DRC 2014b):
• Prevent forced displacement and facilitate the
return of returnees.
• Prevent or reduce the impact of the outbreak
of violence leading to a humanitarian crisis.
• Improve humanitarian access of aid actors and
agencies to affected populations.
• Enhance respect of the fundamental rights of
affected populations.
• Facilitate access of affected populations to
essential services (health, education, liveli-
hood), humanitarian assistance and their fun-
damentals rights.
• Support community dialogue processes to
promote peaceful co-existence in communi-
ties torn apart by conflict.
The DRC emergency humanitarian mediation
and dialogue facilitation project sought to partner
with local and regional actors, equipping them
with community-based tracks II and II mediation
and dialogue facilitation skills. It adopted this
approach after experimenting it in two conflict
hotspots, Bangui and Boda (DRC, Rapport
d’evaluation 2014). An assessment of this pilot
phase revealed three main lessons, namely there
was a strong political will to support reconcilia-
tion efforts at the community level; community
buy-in from the start is essential; and the lack of
humanitarian assistance had created a gap
between government and communities. The
assessment also revealed that the community
mediation and dialogue facilitation approach was
useful and well adapted to the Central African
5
CHF is a country-based pooled fund that provides early
and predictable funding to NGOs and UN agencies for
their response to critical humanitarian needs. It enables
Humanitarian Country Team to allocate resources where
they are most needed swiftly and to fund priority projects
as identified in a Consolidated Appeal Process (CAP).
18
context. Similar to the situation in the Democratic
Republic of Congo described by Severine
Autesserre (TED Global 2014), armed violence
in the CAR is mostly driven by local grievances
and bottom-up conflicts that require local reme-
dies. Also, there is a multiplicity of pre-existing
community or regional-based peace, dialogue
and mediation committees (Zahar and Mechoulan
2017).
To implement the project, DRC hired interna-
tional mediation experts with experience in medi-
ating inter-community conflicts in Africa to
conduct a conflict-sensitive analysis of conflict
hotspots and to help train, coach and mentor
national staff.6 National staff selected to become
mediators and dialogue facilitators underwent a
6-week intensive training in third-party media-
tion, during which they learned how to uncover
the sources and dynamics of conflicts, clarify
intentions and facilitate the development of solu-
tions towards resolution. To ensure the quality of
the training provided, the DRC hired the Canadian
Institute for Conflict Resolution (CICR), which
runs an accredited Third-Party Neutral (TPN)
programme. Through teaching, role-plays and
conflict scenarios, the training enabled DRC
mediators to develop capacities in conciliation,
mediation and facilitation of groups in conflict
and to design conflict interventions. The DRC
Emergency Mediation and Dialogue Facilitation
project in the CAR relied on three main pillars,
which included conflict analysis, training and
mediation/dialogue facilitation (DRC 2014b).
3.1.1 Conflict Analysis
The first pillar consisted of DRC conducting a
comprehensive conflict analysis, aimed at
advancing the understanding of the conflict
dynamics. This required the deployment of medi-
ation teams, composed of one international staff
and three national mediators to each of the tar-
geted hotspots. Coached in strong conflict analy-
sis skills, these mediators spent between 6 and
6
The author was a part of the team of international media-
tion experts hired by the DRC to implement the project,
and many of the data in this section is based on his
fieldwork.
W. Samah
8 weeks in each of the hotspots. During their
deployment, the mediation teams engaged with
all relevant actors, from armed groups, commu-
nity and religious leaders, grassroots organisa-
tions, women’s and youth leader communities,
government entities and humanitarian and UN
actors, to gain an in-depth understanding of the
conflict dynamics.
Data collected from the fieldwork was used in
the production of baseline conflict-sensitive anal-
ysis reports of the hotspots. The reports examined
the political, security and socio-economic drivers
of conflict in the conflict hotspots, identified
locally existing conflict/dispute resolution mech-
anisms and capacities. Also, the reports looked at
the potential and possibilities for peace by explor-
ing factors that foster or obstruct stability in an
area, as well as the connectors and dividers.
Besides, the reports highlighted the community’s
sense of security and perception regarding criti-
cal factors such as the government, the armed
groups, the other, government security forces
(police and gendarmes), local authorities and the
international peacekeeping force. More impor-
tantly, they formulated evidence-based recom-
mendations for interventions.
3.1.2 Training
Another pillar of the DRC humanitarian media-
tion and dialogue facilitation project is capacity
building through training. To this end, two types
of training were conducted, namely the basic
training and training of trainers (TOT). The basic
training was conducted for relevant stakeholders
during the initial deployment of the DRC teams
to a hotspot. Participants included armed groups
(anti-Balaka and ex-Séléka), community leaders,
religious leaders, civil society members notably
youth and women’s representatives, security
forces (police, gendarmerie), international forces
and aid organisations. Apart from familiarising
trainees with the main tools and techniques of
community mediation and social dialogue, the
basic training was designed to also sensitise them
on the need for employing non-violent methods
in resolving conflicts.
Using role-plays and other practical exercises,
the topics covered included understanding con-
3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic
flict, foundations and principles of mediation and
dialogue facilitation, role and functions of the
mediator/facilitator mediation and dialogue pro-
cesses and stages and effective communication
tools. The training sessions equipped civil soci-
ety actors with the skills to enter into dialogue
with armed groups and state authorities helped
parties in conflict to understand that many of
their differences were rooted in false perceptions
about the ‘other’. It also helped them to know the
destructive effects of rumour and how it can be
managed.
Concerning the TOT training, DRC trainers
provided participants with the pedagogical tools
to train others and coached them as they designed
their first conflict transformation processes for
their communities. Also, participants were taught
the principles of impartiality, neutrality,
consensus-­ building and confidentiality. These
training workshops transformed local stakehold-
ers, including armed militia fighters, to overcome
their differences and develop collaborative action
plans to resolve neighbourhood security and dis-
placement issues.
The mediation and dialogue facilitation model
employed by DRC was based on an impartial
third party who listens for the interests behind the
positions of the parties, clarifies what is being
disputed, does not judge or determine what is
best for the parties, but instead helps them to find
common ground and develop their solutions to
their dispute. Though this conflict resolution
approach was based on a Western model that
departed vastly from local customs,7 DRC
­trainers made deliberate efforts to ensure it was
contextualised by integrating local conflicts in
the role-plays and exercises.
According to Al-Zyoud, ‘the concept of
impartiality resonated with the trainees and was
greeted with tremendous enthusiasm and the
skills learnt were later integrated in the tradi-
tional grievance mechanisms of different com-
munities’ (Al-Zyoud 2015). In addition, many of
7
The traditional justice system anchored on village and
neighbourhood chiefs who lead an arbitration process in
which the parties explain their grievances and the chief
renders a decision.
19
the participants quickly found applications for
these new skills in their daily lives and at work,
as many began getting referrals from their neigh-
bourhood chief to resolve community disputes.
For the DRC, the training workshops provided an
opportunity for its mediators to enhance their
understanding of the issues affecting communi-
ties’ safety and security, as well as served as
‘door opener’ by facilitating stakeholder contacts
and acceptance, in a context in which other
organisations would otherwise offer humanitar-
ian aid.
3.1.3  RC Humanitarian Mediation
D
and Dialogue Interventions
The DRC mediation and dialogue facilitation
teams offered their services to the broader
humanitarian community in the CAR. They were
often solicited by aid organisations, including
UN OCHA, to intervene in areas where there
were difficulties in humanitarian access (Rapport
d’ évaluation 2014). Accordingly, between March
2014 and June 2015 the DRC undertook many
mediation and dialogue missions to various
towns and villages across the country including
Bangui, Boda, Poua, Berberati, Zemio, Dekoa,
Carnot Nana, Bakassi, Ndele, Bossangoa,
Batangafo, Kabo and Boka.
Once deployed to the field, the DRC teams
began by first identifying the relevant community
peace committees and trusted individuals for
training, coaching and mentoring. To this end,
hundreds of local actors including traditional and
religious leaders, respected elders, traders, school
headmasters, and youth and women leaders ben-
efitted from this initiative. Where local peace
committees were inexistent, the DRC supported
the establishment and proper functioning of new
ones, while ensuring that they were inclusive in
representation. The peace committees performed
many functions including serving as go-betweens
between armed groups and communities, mediat-
ing conflict and facilitating dialogues with armed
groups, negotiating community violence-­
reduction deals and performing early-warning
functions. In some locations, DRC mediators,
frequently placed in the frontlines between the
ex-Séléka and the anti-Balaka, organised inter-­
20
ethnic, inter-religious and agro-pastoral dia-
logues around security issues including
transhumance and displacement.
Ouham Pende is one province of the CAR that
benefitted extensively from the DRC’s interven-
tions in terms of mediation and dialogue facilita-
tion support. By mid-2014, the province was
awash with several armed groups that were
restricting humanitarian relief personnel freedom
of movement to carry out their tasks. When they
were not attacking humanitarian convoys and
stealing relief supplies, they were placing condi-
tions for allowing the passage and distribution of
relief to populations in need. However, by work-
ing with community-based mediation commit-
tees and through regular engagements with many
of these armed groups, the DRC mediation teams
were able to convince some of the armed groups
to allow humanitarian access, denounce violence
and agree to disarm and liberate schools in order
to allow pupils to return to schools. For instance,
on 11 November 2014, ‘General’ Senapou Elie
one of the anti-Balaka leaders operating on
Pougoul, located about 15 km from Paoua, sent a
letter to the regional authorities and the
MINUSCA contingent informing them of his
decision to lay down his weapons and to stop
erecting illegal checkpoints to harass and extort
transporters drivers and motor taxis. Claiming he
was heading an armed group numbering 337
fighters, ‘General’ Elie expressed his readiness to
disarm and willingness to collaborate with the
administration to neutralise other armed groups.
Paoua had an influential peace and mediation
committee that played a key role interfacing
between the community and armed group lead-
ers. Composed of 21 members and headed by a
trusted insider named Céline Nadjikouma, the
committee was credited for negotiating an
­agreement on the free movement of people with
Séléka leadership in Paoua in 2013. Even after
the departure of the Séléka coalition, the commit-
tee continued to play a crucial role to promote the
return of peace in the region. Accordingly, with
the assistance of DRC mediators, it negotiated
the release of people arrested and held by anti-­
Balaka and armed groups, and for the return of
the displaced. Besides, it conducted advocacy
W. Samah
campaigns against the attacks of the Muslim
community in Paoua and facilitated dialogue
between different armed groups and with
MINUSCA. Also, discussions during meetings
with armed groups often centred on how they
could guarantee accessibility and safety for dis-
placed communities and for humanitarian
engagements with the areas under their control.
In December 2014, the DRC was invited by
aid organisations to intervene in Berberati,
located near the border with Cameroon, some
450 km from Bangui. Before the war, Berberati,
with its large Muslim community of several thou-
sand, was seen as a model of religious tolerance
cohesion. It was a place where inter-marriages
between Muslim and Christian was common and
Christian and Muslim children attended the same
schools. However, when the crisis started, the
Muslim community came under sustained and
devastating attacks from anti-Balaka groups,
forcing the majority to flee to neighbouring coun-
tries, leaving behind about 500 people who had
taken refuge at the city’s Catholic seminary.8 By
the time the DRC mediation team was deployed
to Berberati in January 2015, the Muslim com-
munity were wholly confined inside the semi-
nary, as they were prevented from going out even
to fetch water, foodstuff or firewood by the anti-­
Balaka militia.
An analysis of the situation in Berberati by the
DRC mediation team revealed that inter-­
community dialogue had become difficult due to
feeling of hate, betrayal and mutual suspicion.
According to Nathalie Al-Zyoud, in the aftermath
of the war, the trauma experienced by both the
Christian and Muslim communities led to the
creation of parallel narratives of victimisation
which kept them physically and emotionally
divided (Communities in Transition 2015). An
attempt by the Archbishop of Berberati, Denis
Kofi Agbenyadzi, to broker a dialogue between
8
Since the start of the current crisis in the CAR in 2013,
religious leaders have been playing a pivotal role in pro-
tecting displaced populations. For instance, at the height
of the crisis, Catholic churches across the country did not
only open the doors of their churches to terrified Muslims
fleeing the violence, in many cases, they also took up
mediation role.
3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic
anti-Balaka and the Muslim community failed,
leading to further killings of Muslims by the anti-­
Balaka militia.
One of the reasons for the failure of the
Archbishop’s mediation initiative was because it
was not viewed favourably by the anti-Balaka
which accused the Church of collaborating with
Muslims, calling them traitors (Alexandre 2014).
Consequently, the priest who was directly respon-
sible for facilitating the dialogue with the anti-­
Balaka received many death threats and was held
at gunpoint on many occasions (Alexandre 2014).
However, the DRC mediation team’s initial
engagements with the relevant stakeholders
revealed an overwhelming desire for peace and
security to return to Berberati. The violence
which led to the departure of the Muslim busi-
ness people that dominated the commercial sec-
tor had caused inflation and a significant
deterioration in the quality of life for most of the
city’s residents. What the people needed was a
neutral third party to initiate dialogue, a role the
DRC mediation team was willing and ready to
play.
Accordingly, the DRC mediation team, in col-
laboration with the regional administrator or
Prefet, convened a conference under the theme:
How to improve security in Berberati and its
environs? Facilitated by DRC mediators and pre-
sided over the Prefet, the conference brought
together all the relevant stakeholders, including
state officials and representatives from anti-­
Balaka, the Muslim community, civil society
organisations, traditional authorities, media,
security forces and UN (MINUSCA and OCHA).
After identifying and discussing the security
challenges facing the city, participants working
in committees formulated recommendations for
possible interventions, including practical and
realistic solutions. Additionally, participants
agreed to set up an inclusive peace and reconcili-
ation committee to follow up on the outcomes of
the conference. This example shows how the
humanitarian mediation process can enable local
communities to set the agenda themselves and to
find solutions to their most pressing security
problems (Communities in Transition 2015). The
immediate benefits of the conference was a de-­
21
escalation of the inter-community and inter-­
religious tension and violence.
Furthermore, for the first time in nearly a year,
the conference permitted members of the Muslim
community to leave the Catholic seminary and go
out to the city, without being attacked by anti-­
Balaka elements. Building on this initial success,
the DRC team embarked on training the members
of the newly established peace and reconciliation
committee in community mediation and dialogue
facilitation. It also assisted the committee in
developing a roadmap/action plan for restoring
peace and reconciliation in Berberati, including
dealing with the question of the return of the
Muslim community to their homes. The commit-
tee became the driving force for the restoration of
peace in Berberati.
With the DRC support, Muslim refugees and
internally displaced people who had fled violence
in Berberati slowly began to return to their home.
After years of displacement, many who had been
away for a long time found their homes occupied
by other people in their absence. However,
through dialogue and mediation, the returnees
were assisted in regaining access to their homes.
Nevertheless, the tension between the Muslim
community and anti-Balaka was not the only fac-
tor causing tension in Berberati.
On 20 December 2014, Congolese (DRC)
community in Berberati were attacked, and
their businesses and homes looted and ran-
sacked by anti-Balaka militias, forcing them to
flee and took refuge at the Catholic Church
compound. The attack was in retaliation for a
local anti-­ Balaka leader who had allegedly
been killed by a UN peacekeeper from the
Republic of Congo. This was a case of mistaken
identity as anti-­Balaka militia could not distin-
guish between Congolese from the Democratic
Republic of Congo (Congo Kinshasa) and those
from the neighbouring Republic of Congo
(Congo Brazzaville), their intended target.
Living in constant fear and anxiety, each time
the members of the Congolese community tried
to go out to the city, elements of anti-Balaka
attacked them. That was the state of affairs at
the time DRC mediators deployed to Berberati
in January 2015.
22
To initiate the dialogue between the two par-
ties, the DRC mediation team held separate pre-­
mediation meetings with representatives of the
Congolese community9 and anti-Balaka leaders.
The outcome was an agreement to meet face-to-­
face to discuss issues relating to the protection,
free movement and return of Congolese refugees
to their homes. Accordingly, on 16 January 2015,
DRC mediators facilitated dialogue between the
two parties, in a meeting that was attended by
three anti-Balaka leaders; 15 representatives of
Congolese refugees; the Abbot Jean-Noel repre-
senting the Bishop of Berberati; 1 representative
of MINUSCA and 4 DRC mediators.
After listening to members of the Congolese
community recount their ordeal since the attack,
the anti-Balaka leaders apologised for their acts,
which they attributed to a misunderstanding.
They took a commitment to do everything neces-
sary to prevent further violence against Congolese
in Berberati. To this end, they promised to launch
a radio sensitisation campaign to encourage the
return of Congolese refugees to their homes.
Similar interventions were carried out in other
regions of the CAR. In Bangui and the enclaves
of Boda, Dekoa and Carnot, for example, DRC
interventions led to a significant reduction of vio-
lence against civilians, greater freedom of move-
ment for populations at risk and improvement in
humanitarian access and acceptance especially in
areas where NGOs were threatened or directly
targeted by armed groups.
Furthermore, since early 2016, humanitarian
mediation and dialogue facilitation are still being
used in returnee sites in Bangui to ensure a safe
and conducive environment for the return of IDPs
and refugees to their areas of origin and to
enhance community participation and involve-
ment in humanitarian response planning pro-
cesses (Grimaud 2016: 2). In many other parts of
the country, one of the issues that required the
intervention of the DRC mediation teams was the
9
DRC was granted permission to the Catholic Priest to
meet the victims, who explained with alarming detail the
horror they had gone through. At the Church compound,
the DRC team met and discussed with frightened victims
who had survived the attack, with some asking for assis-
tance to return to their country.
W. Samah
tension and frequent clashes between armed
groups and UN peacekeeping troops. In such
areas, this translated to public animosity towards
UN mission.10 To ease the tension, the DRC
mediation team facilitated dialogue sessions
between anti-Balaka and UN peacekeepers and
between community leaders and the
peacekeepers.
The humanitarian community in the CAR
widely hailed DRC’s strategy of implementing
humanitarian mediation and dialogue by support-
ing local community mediation as a success
story. Attesting to this, the CAR Humanitarian
Response Plan (HRP) which began promoting
similar interventions as part of its humanitarian
access strategy noted in 2015 (CAR Humanitarian
Response Plan 2015, 14 and 23) that mediation
carried out on local and community levels is a
tool that complements traditional assistance, not-
ing that:
“Through inclusive forums, mediation opens a dia-
logue between representatives of civilian society,
authorities, humanitarian actors, international
forces and armed groups, leading to negotiated
solutions that foster the reduction of violence,
humanitarian access and protection of civilians’,
while also stressing the necessity for improved
intra- and intercommunity relations through medi-
ation, dialogue and social cohesion initiatives”.
Additionally, the CAR protection cluster in its
2014–2015 strategy stressed the importance of
‘strengthening emergency mediation efforts in
conflict areas in order to prevent tensions and
facilitate humanitarian access’ (Cluster Protection
RCA 2015: 4–5). Similarly, the draft report of the
Inter-Agency Humanitarian Evaluation (IAHE)
of the Response to the Central African Republic’s
Crisis 2013–2015 indicated that ‘The response
employed a commendably conflict-sensitive
approach that took innovative steps to reduce
conflict through local humanitarian mediation
that was seen as impartial by the divided com-
munities, leading to reduced conflict, increased
10
Two days after the team arrived in Berberati, there was a
public demonstration to protest the alleged killing by UN
peacekeepers of a civilian, whose body was being dis-
placed, by the protesters.
3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic
access, and protection of civilians’ (Grimaud
2016: 3; CCHN 2016). Moreover, in November
2015, a study on protection in the CAR by the
Overseas Development Institute (ODI) con-
cluded that ‘emergency mediation and social
cohesion have opened the way to a closer engage-
ment with armed groups and helped to prevent
and reduce violence and protect civilians. This
contrasts with standard approaches … that attach
only to the consequences of violations’ (Barbelet
2015: 19; Grimaud 2016: 3).
Given its relevance and based on the ground-
work that had been laid by DRC mediators, vari-
ous international organisations operating in the
CAR and elsewhere began to promote and imple-
ment some elements of humanitarian mediation
and dialogue facilitation, an indication that the
approach is gaining momentum. For example, in
2015, United Nations Development Programme
(UNDP) in collaboration with the UN mission,
hired DRC to train local authorities/mayors from
the different regions of the CAR as part of a Civil
Affairs initiative. In late 2017, Norwegian
Refugee Council started implementing humani-
tarian mediation projects in three African coun-
tries, including the CAR, Congo and Mali, which
aimed to mitigate violence, prevent forced dis-
placements and facilitate returns as well as
improve humanitarian access. Other international
organisations that have used conflict–resolution
tools to protect civilians are OCHA, Agency for
Technical Cooperation and Development
(ACTED), Catholic Relief Services (CRS), the
Centre for Humanitarian Dialogue, Conciliation
Resources, Cordaid, Finn Church Aid, the
Norwegian Refugee Council, Search for Common
Ground, Communities in Transition (CIT) and
World Vision.
Nevertheless, the emergence of humanitarian
mediation as a form of humanitarian engagement
has sparked a new debate among humanitarian
practitioners who are seeking clarity on how it is
different from humanitarian negotiation.
Accordingly, the Annual Meeting of Frontline
Negotiators hosted in Geneva Switzerland on
25–26 October 2016 by the Centre of Competence
on Humanitarian Negotiation (CCHN) invited
DRC and OCHA experts to share their experi-
23
ence in developing and implementing humanitar-
ian mediation in the CAR, with the view to
exploring ways to forge possible tools and policy
instruments that could be developed to support
frontline negotiators (CCHN 2016).
However, despite its proven usefulness and
effectiveness, the use of humanitarian mediation
as a protection mechanism in situations of armed
conflict is not devoid of risks, limitations and
controversies. For instance, it may be perceived
as legitimising armed groups. Because mediators
seek out parties that have emerged as leaders
through violence and force, their intervention can
be perceived as giving legitimacy to militia
groups, rewarding impunity and contributing to
the institutionalisation of armed groups.
Moreover, if not well managed, humanitarian
mediation during intense conditions at frontline
risks can also become a politically tainted.
Furthermore, there is the possibility of retribution
after the mediation process is over, as humanitar-
ian mediation may create security risks for indi-
viduals who participate in dialogue/mediation
process solution, as they may be considered as
sell-outs. The same risk applies to local/insider
mediators. Despite the high degree of legitimacy
they may have earned for leading the mediation
process, they too may be perceived as a threat to
the interests of those benefiting from the chaos.
Furthermore, there is the risk of exacerbating the
conflict if the mediation initiative fails or if par-
ties are dissatisfied with the outcome.
4 Conclusion
Humanitarian-driven mediation processes can
be very effective as a short-term emergency
response to deal with issues relating to protec-
tion and prevention of violence against civilians
in general and forcibly displaced populations in
particular, in times of crises. Given its useful-
ness in addressing some of the constraints relat-
ing to humanitarian access, it bears immense
possibilities for growth within the humanitarian
community. Under the framework of its flagship
emergency mediation and dialogue facilitation
project, the Danish Refugee Council was able to
24
effectively implement this relatively new
approach in humanitarian engagement in the
Central African Republic. It did so by develop-
ing a structured strategy backed by a rigorous
methodology for engaging stakeholders, includ-
ing the state and non-state armed actors. Geared
towards supporting the pre-existing mecha-
nisms, the project enjoyed the credibility that
enabled mediators to operate within challenging
and volatile environments. Recognising the
State as the actor with primary responsibility for
protecting forcibly displaced populations within
its borders, the Danish Refugee Council part-
nered with state institution to empower local
and regional authorities, thereby promoting
national ownership. Given its success, humani-
tarian mediation is increasingly being used by
other international aid organisations to deliver
on their critical mandate to protect civilians,
including displaced populations.
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Internal Displacement Monitoring Centre. (2019): Central
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thenewhumanitarian.org/special-­report/2018/05/24/
part-­1-­inside-­mission-­impossible.
Kleinfeld P (2018b) The New Humanitarian:
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central-­african-­republic-­aid-­worker-­target-­danger.
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3 Mediating Protection of Forcibly Displaced Populations in the Frontlines of the Central African Republic
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IPI Publications).
 The Adequacy of Law and Policy
Frameworks on Internal
Displacement in Ethiopia:
A Critical Appraisal
Enguday Meskele Ashine
Abstract
With three million displaced people over the
last couple of years, Ethiopia has one of the
highest populations of internally displaced
persons (IDPs). Large number of people are
forced to flee their homes within the country
due to conflict. The aim of this chapter is to
doctrinally examine the adequacy of exist-
ing legal and policy frameworks concerning
IDPs in Ethiopia. This chapter examines
whether the existing national frameworks
adequately protects IDPs, and if not, what
gaps exist. This chapter argues that while
existing domestic legal and policy frame-
works contain elements relevant to protec-
tion of IDPs, they are not comprehensive
and do not comprehensively respond to the
specific needs and vulnerabilities of IDPs.
This chapter makes the point that the
absence of an adequate domestic legal and
policy framework for protection of IDPs
underlines the importance of domesticating
the Kampala Convention.
E. Meskele Ashine (*)
IHL and Human Rights at School of Law, Wolaita
Sodo University, Wolaita Sodo, Ethiopia
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
R. Adeola (ed.), National Protection of Internally Displaced Persons in Africa, Sustainable
Development Goals Series, https://doi.org/10.1007/978-3-030-66884-6_4
4
Keywords
Internally displaced persons · Internal
displacement · Law · Kampala Convention ·
Ethiopia
1 Introduction
Internal displacement has been an on-going chal-
lenge in Ethiopia for many years. Conflict over
resources and local boundaries combined with
recurrent drought and seasonal floods generate
population displacement every year (IDMC
2019a). New waves of violence have triggered sig-
nificant internal displacement (IDMC 2018: 5).
About 2.9 million people were forced to flee their
homes as a result of conflict-induced displacement
in the first half of 2018 (IDMC 2019b: 14).
According to the latest Displacement Tracking
Matrix (DTM), published on August 2019, conflict
is the leading driver of displacement followed by
displacement due to natural disasters exacerbated
by climatic factors (IOM 2019a). As of January
2019, the number of displaced people stood at
2.23 million and conflict-­ induced displacement
counts the largest (IOM 2019b). In the late 2020,
the military confrontation between the Federal
27
28
Government of Ethiopia and the Tigray People’s
Liberation Front governing (TPLF) (governing the
Tigray region in the north of Ethiopia) also trig-
gered population displacement (DW 2020).1
Internal displacement has already left hun-
dreds of thousands of Ethiopians in dismal condi-
tion by disrupting livelihood and food security,
and affecting access to basic social services like
health and education (OCHA 2019a). Many IDPs
have been exposed to malnutrition, deteriorated
health and living condition and disruption of edu-
cation. The UN Office for the Coordination of
Humanitarian Affairs (OCHA) has reported that
3.19 million IDPs and returnees are in need of
assistance, among which 30% are in acute need
(OCHA 2019b: 4). Moreover, it has been revealed
that emergency shelter and non-food items are
priorities (OCHA 2019b: 50 and 52).
In response to the displacement crisis, the
government has attempted to take a number of
measures ranging from establishing a Ministerial
Task Force (entrusted with the mandate of
addressing the displacement crisis) to setting up
Emergency Operation Centres in affected area
(Refugees International 2018: 8). Moreover, the
government, in cooperation with humanitarian
partners, has responded to critical needs of dis-
placed persons by providing food and other mate-
rials to displaced persons living in various camps
(OCHA 2019c: 1). The government adopted a
Strategic Plan to address Internal Displacement
and a costed Recovery/Rehabilitation Plan in
1
Several months of tensions between the Federal
Government and the TPLF reached its peak when on 4
November 2020, the Federal Government launched a mil-
itary attack against forces of the TPLF in response to an
alleged assault by the TPLF on the Ethiopian National
Defence Force base in Tigray (Atlantic Council 2020).
The fragile relationship dates back to 2018 when the
Prime Minster Abiy Ahmed came into power. The ruling
coalition at the time—the Ethiopian Peoples’
Revolutionary Democratic Front (EPRDF) was subse-
quently dismantled and replaced with a single national
party—the Prosperity Party (PP), which the TPLF refused
to join (International Crisis Group 2020). The relationship
rapidly deteriorated following the Federal Government’s
postponement of the national election that was to take
place in August due to the COVID-19 pandemic. However,
the Tigray region held its own election in September 2020
(International Crisis Group 2020).
E. Meskele Ashine
2019 (OCHA 2019c: 3). The overall objective of
the Plan is to ensure the voluntary, safe, dignified
and sustainable return or relocation of those per-
sons displaced by inter-communal conflict in dif-
ferent regions of the country (OCHA 2019c: 3).
Although there have been various efforts in
response to the critical needs of displaced per-
sons, IDPs continue to live in dire circumstance
in the absence of sustainable solutions and inad-
equate levels of assistance. Humanitarian assis-
tance has been hampered by resource constraints
and security issues (OCHA 2019c: 1 and 2).
Resource shortfall has affected life-saving activi-
ties, particularly delivery of assistance in three
sectors such as food, health and nutrition (OCHA
2019c: 1). Following the adoption of the Strategic
Plan, the government has carried out intensive
return operations in Oromia, SNNPR and in the
Somali region (OCHA 2019d: 2–7). Though the
government has claimed that the return is volun-
tary and security conditions in return areas have
been assessed, the mass return operation has been
criticised for being forceful and premature
(Refugee International 2019). The government-­
led mass return operation has been undertaken
through restricted humanitarian aid in the area of
displacement, the dismantling of IDP sites and
the coercion of displaced persons to move to
return areas where aid would be provided, essen-
tially leaving them with no choice but to return
(Refugee International 2019). Nonetheless, many
IDPs could not actually return to their houses
fearing security threats and the lack of rehabilita-
tion support that helps them to resume their live-
lihood and get on with their life in their area of
origin (Refugee International 2019). As a result,
a majority of returnees are living in secondary
displacement conditions in areas close to their
home (OCHA 2019e: 2). This government-led
relocation process has seriously affected the
efforts of humanitarian aid workers in the protec-
tion of IDPs (OCHA 2019d: 1).
However, this is contrary to relevant interna-
tional standards. On 13 February 2020, Ethiopia
ratified the AU Convention for the Protection and
Assistance of IDPs in Africa (2009) (the Kampala
Convention). Against this backdrop, this chapter
examines the adequacy of national standards in
4 The Adequacy of Law and Policy Frameworks on Internal Displacement in Ethiopia: A Critical Appraisal
the furtherance of IDP protection and assistance
in Ethiopia.
This chapter is divided into three main sec-
tions. The first section discusses national legal
and policy frameworks relevant to protection of
internally displaced persons, while the second
section critically assesses the gaps within exist-
ing legalisations and policies relevant for the pro-
tection of IDPs. The third section examines the
implication of ratifying the Kampala Convention.
2  aw and Policy Frameworks
L disaster risk management system that focuses on
Relevant to Internal
Displacement
Despite the absence of a specific framework to
guide response to internal displacement in
Ethiopia, internal displacement issues have been
addressed within the general legislation and
disaster response system. The Constitution of the
Federal Democratic Republic of Ethiopia (the
FDRE Constitution) make reference to displace-
ment. The FDRE Constitution states that “All
persons who have been displaced or whose liveli-
hoods have been adversely affected as a result of
State programmes have the right to commensu-
rate monetary or alternative means of compensa-
tion, including relocation with adequate State
assistance” (Article 44). Furthermore, the
Constitution guarantees protection against dis-
placement for Ethiopian pastoralists (Article
40(5)). These provisions of the Constitution are
of paramount importance for persons affected by
development-induced displacement or displace-
ments caused by state-initiated programmes.
In addition to this, the Constitution contains
bills of rights which apply without reservation to
all IDPs such as the right to life, personal secu-
rity, the right to movement and protection against
discrimination (Article 14, 15, 25 and 31).
Moreover, the Constitution underscores the fact
that “Government shall take measures to avert
any natural and man-made disasters, and, in the
event of disasters, to provide timely assistance to
the victims” (Article 89(3)). However, the afore-
mentioned provisions are not complemented by
domestic legislations or policies that are tailored
29
to particular needs and vulnerabilities of IDPs.
Thus, neither the civil law nor the criminal law
legislations contain provisions elaborating on the
above constitutional stipulations.
Besides the FDRE Constitution, the most rel-
evant instrument in the context of internal dis-
placement is the National Policy and Strategy on
Disaster Risk Management of 2013 (the DRM
policy). This Policy and Strategy is an amend-
ment of the 1993 National Policy on Disaster
Prevention and Management. The DRM Policy
provides for a comprehensive framework of
multi-hazard and multi-sectoral approaches as
well as on measures that need to be taken before,
during and after the disaster period (DRM Policy
2013). The DRM Policy has brought a paradigm
shift by moving away from a disaster manage-
ment approach that focuses on drought and provi-
sion of emergency relief assistance to a more
proactive, multi-sectoral and multi-hazard DRM
approach (DRM Policy 2013: 5). It recognises
the fact that Ethiopia is vulnerable to multiple
hazards and associated disasters caused by cli-
mate changes and conflict (DRM Policy 2013: 3).
The policy stipulates the need to save lives, pro-
tect livelihood and ensure all disaster affected
populations are provided with recovery and reha-
bilitation assistance (DRM Policy 2013). By
doing so, the policy extends protection to all
disaster-affected people including people who
are victims of disaster induced displacement.
Moreover, the policy and its associated
Strategic Programme and Investment Framework
(DRM-SPIF) contain important statements that
could boost the reliability of government’s
response to internal displacement issues. The
DRM activities implemented during the pre-­
disaster phase contribute to the prevention and
mitigation of conditions that might lead to
disaster-­induced displacement. For instance, the
DRM policy emphasises the need to provide a
response on the basis of early warning or disaster
assessment information system (DRM Policy
2013: 6). This is very helpful to the prevention or
mitigation of climate change-induced displace-
ment. It is generally acknowledged that measures
taken to reduce risks in areas prone to climate-­
30
induced disasters help to reduce the scale of
disaster-induced displacement and its impact.
Also, the DRM policy lays down general direc-
tion and major implementation strategies on a
decentralised DRM system, information manage-
ment, funding, international cooperation and
integration of disaster risk reduction into devel-
opment plans (DRM Policy 2013). Giving effect
to these provisions could help efforts to address
disaster-induced displacement.
Though the DRM policy comes with provi-
sions relevant to disaster-induced displacement, it
is not specifically tailored to the particularities and
challenges of internal displacement. It is against
this backdrop that the Ethiopian government
launched the Federal Government’s Strategic Plan
to address Internal Displacement and a costed
Recovery/Rehabilitation Plan (the IDP Strategic
Plan) with the aim of ensuring the voluntary, safe,
dignified and sustainable return/relocation of peo-
ple uprooted by conflict in seven regions2 and one
administrative City (OCHA 2019c).3
The IDP Strategic Plan sets out activities in
order to achieve the following four results: Result
1—Restoring law and order and the restoration of
justice to address crimes committed; Result 2—
Ensuring peace and reconciliation and the forma-
tion of enabling systems to allow for IDPs’
informed decision to pave the way for voluntary
and informed return or relocation; Result 3—
Rehabilitation and livelihood support in areas of
return or relocation; and Result 4—Interim multi-­
sector assistance of affected persons in areas of
displacement, return or relocation (OCHA 2019c:
3). This instrument aims to return/relocate/reinte-
grate IDPs in three phases. Accordingly, the first
phase addresses persons displaced from within
their region of origin and where conditions allow
voluntary, dignified and sustainable return. The
second phase targets persons displaced from
areas where substantial security and rehabilita-
tion of basic services are required before returns.
The third phase deals with persons displaced
from areas where alternative solutions to returns
2
Tigray, Amhara, Oromia, Somali, SNNP, Benishangul
Gumuz and Harari regions.
3
Dire Dawa city administration.
E. Meskele Ashine
are preferred, including IDPs whose place of ori-
gin is deemed viable for return but who still
choose not to return (OCHA 2019c: 4). Proper
implementation of the Strategic Plan will improve
the IDP situation and pave the way for finding
durable solutions. That is why the international
community welcomed the government’s effort to
advance durable solutions and, also affirmed its
support (OCHA 2019c).
With the major aim of guiding the efforts of all
partners engaged in finding durable solutions for
IDPs, the Ethiopia Durable Solutions Initiatives
(herein after DSI) was launched on December
2019. It aims at providing a principled opera-
tional framework and platform to design and
implement durable solutions in support of inter-
nally displaced persons (IDPs) in Ethiopia and
host communities/communities at locations of
return, relocation or local integration (Ethiopia
DSI 2019). The Ethiopia DSI intends to coordi-
nate collective action and cooperation between
the Ethiopian government at various levels and
with international actors. This instrument reflects
principles and standards in the UN Guiding
Principles on Internal Displacement (1998) and
the Inter-Agency Standing Committee (IASC)
Framework on Durable Solutions for IDPs by
stating key principles that should guide the search
for durable solutions including rights and need-­
based approach to durable solutions, participa-
tory and community-based approaches and
government-led processes in support of durable
solutions (Ethiopia DSI 2019).
Unlike the IDP Strategic Plan, the Ethiopia
DSI provides a comprehensive base to guide
efforts in pursuit of durables solutions. The
Durable Solution Initiative seeks lasting solu-
tions to displacement problems by promoting and
creating a conducive environment for local inte-
gration, safe and voluntary return and sustainable
relocation. Moreover, the DSI articulates provi-
sions of start-up capital, social protection benefits
and affordable housing as means to find individu-
alised solutions (Ethiopia DSI 2019). Besides, it
envisages the integration of displacement issues
into development programmes and humanitarian
actions as part of a comprehensive durable solu-
tion (Ethiopia DSI 2019). The significance of the
4 The Adequacy of Law and Policy Frameworks on Internal Displacement in Ethiopia: A Critical Appraisal
DSI lies in its intervention approaches sensitive
to conflict induced displacement. For instance,
strengthening the capacity of local level conflict
resolution mechanisms and reconciliation activi-
ties considered as location-specific activities
which facilitate safe and voluntary return
(Ethiopia DSI 2019). Another important aspect is
that the DSI places a higher premium on coopera-
tion among the Ethiopian government’s authori-
ties at national, regional and local level and with
the international community in pursuit of durable
solutions.
The National Social Protection Policy of
Ethiopia 2012 is another instrument which
aims to address IDP issues indirectly. The
Policy highlights specific strategic priorities to
better support different section of the popula-
tion particularly those who are vulnerable,
which technically includes displaced persons
as well.
Another major legal development concern-
ing IDPs is in the Somali Region of Ethiopia.
In October 2017, Ethiopia’s Somali Regional
State adopted a regional durable strategy with
the aim of assisting the Somali Region IDPs
including pastoralist populations in finding
durable solution (Somali Regional State
Government 2017). The strategy was the first
of its kind at regional as well as national level.
The Strategy is aligned with international
principles and frameworks including the UN
Guiding Principles on Internal Displacement,
the IASC Framework on Durable Solutions for
IDPs, and Kampala Convention (Somali
Regional State Government 2017: 5). It also
establishes linkage with relevant national
frameworks (Somali Regional State
Government 2017). Moreover, the strategy
reflects the definition of an IDP proposed by
the UN Guiding Principles and Kampala
Convention (Somali Regional State
Government 2017). The strategy also covers
all the types of IDPs. Although the application
of the strategy is limited to particular regions,
it is the first framework specifically dedicated
to the furtherance of IDP safeguards. Thus, the
strategy fills an important gap within the
national framework by enacting IDPs’ entitle-
31
ments and setting out corresponding institu-
tional responsibilities. Essentially, it provides
an opportunity to better organise durable solu-
tions at the regional level and facilitate tai-
lored responses to the region’s displacement
situation. The Somali region’s strategy can
provide a template for other regions and can
also be scaled up nationally. While there are
frameworks that provide some level of protec-
tion for IDPs, these are piecemeal. The next
section examines the gaps in the existing
frameworks.
3  aps in the Existing Law
G
and Policy Frameworks
While certain provisions of the FDRE
Constitution as well as the DRM policy are rele-
vant to the protection of IDPs, Ethiopia does not
have a comprehensive legal or policy instrument
that guides responses to internal displacement.
This lacuna poses a protection imbalance that
could hamper the efforts to resolve the vulnera-
bilities of IDP holistically. Clearly, the FDRE
Constitution provides a legal base for the protec-
tion of displaced persons by stating that “All per-
sons who have been displaced or whose livelihood
have been adversely affected as a result of State
programmes have the right to commensurate
monetary or alternative means of compensation,
including relocation with adequate assistance”
(Article 44(2)). However, the scope of the provi-
sion is limited to State programmes such as situ-
ations of development induced displacement so
that it does not cover all causes of displacement.
As such, persons displaced as result of conflict or
man-made or natural disasters do not benefit
from the protection guaranteed under this
provision.
In similar vein, Article 40 of the FDRE
Constitution which recognises the right to prop-
erty provides insufficient basis on which to
address IDPs’ specific needs and vulnerabilities.
IDPs are often at risk of losing their property and
personal belongings at times of displacement.
Undoubtedly, legal protection of property-related
interests is a key part of finding durable solutions
32
for IDPs. Article 40 of the FDRE Constitution
guarantees property rights that remain applicable
for IDPs as well (Article 40(1)). Moreover, the
Constitution affirms Ethiopian peasants and pas-
toralists have the right to obtain land for free, and
guarantees protection against eviction and dis-
placement (Article 40(5) and (6)). These consti-
tutional provisions are backed up by other
legislation that deals with compensation schemes
for those affected by development-induced dis-
placement (Expropriation of Land Holding for
Public Purposes, Payment of Compensation and
Resettlement of Displaced People Proclamation
No. 1161/2019). Accordingly, those who have
lost the right to the use of land as a result of
expropriation for public purpose are entitled to
compensation (Expropriation of Land Holding
for Public Purposes, Payment of Compensation
and Resettlement of Displaced People
Proclamation No. 1161/2019). However, the
rights laid down under the FDRE Constitution as
well as the complementary legislation exclude
non-pastoralist and non-peasant communities
from protection against displacement and the
right to get compensated as a result of displace-
ment. Thus, there are no laws or policies in place
for IDPs who lose their land due to conflict-­
induced displacement or displacement caused by
man-made or natural disasters.
While the frameworks prohibit the displace-
ment of pastoralists and provide compensation
for those who are affected by the State develop-
ment projects, the need to achieve durable solu-
tions is not provided for in the legislations. In
addition, the FDRE Constitution contains bill of
rights that could potentially address protection
needs of IDPs regarding life and personal secu-
rity, non-discrimination, personal liberty, protec-
tion of subsistence, and movement-related needs
(Article 14, 15, 16, 17, 32 and 41). Unfortunately,
there is no national law, policy or strategy to help
translate these provisions into actual tools
towards better protection of IDPs. It can be con-
cluded that the FDRE Constitution does not
­provide a sufficient basis of protection for vari-
ous IDPs.
On the other hand, Article 89 sub-article 3 of
the FDRE Constitution obliges the government
E. Meskele Ashine
to avert natural or man-made disasters, and in the
event of disasters, to provide timely assistance to
the victims. In line with this obligation, the gov-
ernment has adopted the National Policy and
Strategy on Disaster Risk Management of 2013.
The DRM policy of 2013 intends to address the
needs and vulnerabilities of all disaster affected
persons by moving away from an approach that
focuses on drought and the provision of emer-
gency relief assistance (DRM Policy 2013). The
revised DRM policy of 2013 is of paramount
importance for improving the protection and
well-being of IDPs. Pre-displacement prevention
efforts often include measures that aim to elimi-
nate or mitigate the causes of displacement. It has
been noted that disaster-risk activities that inte-
grate the concern of internal displacement may
help efforts to eliminate or mitigate displacement
problems (IDMC 2013: 70).
The revised DRM policy had defined displace-
ment as “the process of people being forced to
move from their home to other places because of
a natural hazard, war/conflict, other human-made
action” (DRM Policy 2013). Thus, the policy rec-
ognises conflict- as well as disaster-induced dis-
placement though without providing the
definition of an IDP. The revised DRM policy
and its respective Strategic Plan and Investment
Framework promote disaster risk reduction
efforts through establishing and implementing
comprehensive approach (DRM Policy 2013). In
line with this commitment, the DRM policy and
its strategic plan set out measures to be taken at
pre-disaster, disaster and post-disaster phases
(DRM Policy 2013). The pre-disaster phase
includes prevention, mitigation and preparedness
activities that are relevant to reduce and substan-
tially mitigate causes of internal displacement.
Thus, prevention, mitigation and preparedness
activities such as early warning systems, risk and
vulnerability assessment, contingency plan
which forms part of the disaster risk management
framework are also useful in terms of preventing
or mitigating disaster induced displacement.
Moreover, humanitarian/emergency responses
and recovery/rehabilitation components that are
part of disaster and post-disaster phase of disaster
risk management system may help efforts to
4 The Adequacy of Law and Policy Frameworks on Internal Displacement in Ethiopia: A Critical Appraisal
improve the protection of IDPs. Thus, measures
and activities undertaken as part of disaster risk
management system are also relevant in the con-
text of internal displacement.
However, the revised DRM policy and its
Strategic Programme and Investment Framework
do not address issues of particular concerns to
IDPs apart from defining the term displacement
in the policy document. First of all, the definition
of who an IDP is, is not provided under the Policy
document. Second of all, it does not consider spe-
cific needs of IDPs such as the need to receive
relief and humanitarian assistance, restoration of
lost properties and documents.
The DRM policy and its strategy link protec-
tion and durable solution needs of all affected
population by stating that “In time of disasters, to
save lives, protect livelihoods, and ensures all
disaster affected population are provided with
recovery and rehabilitation assistances”.
However, it does not provide in great details the
mechanisms on how best to save lives and pro-
mote livelihoods, recovery and restoration of the
living situation of IDPs as it limits itself mainly
to preparedness, mitigation, early warning and
response to natural disasters such as drought- and
flood-related risks. Thus, the DRM policy and its
strategic programme do not specifically address
protection, assistance and the need to find dura-
ble solutions.
In addition, the DRM and its respective strate-
gic programme do not spell out mechanisms to
deal with risks associated with conflict which is a
primary displacement driver (IOM 2019a).
Hence, the disaster risk management approach is
unable to respond to the challenges of the current
situation of displacement. Moreover, certain pre-
vention and preparedness measures undertaken
in the course of disaster management process are
not responsive to vulnerabilities of persons dis-
placed by inter-ethnic and inter-regional con-
flicts. For instance, IDPs face difficulties in
claiming entitlements to the Productive Safety
Net Program (PSNP, which is part of the
prevention and mitigation activities) due to
­ On the other hand, both the Guiding
administrative barriers for registration in the area
of displacement and conflict (Protection Cluster-
Ethiopia 2017: 3). It is practically impossible to
33
access the PASNP services for those IDPs who
fled their area of origin due to inter-ethnic con-
flict as they cannot return back because of secu-
rity issues. At the same time, it is difficult to
access the services in the area of displacement
since it depends on the willingness of host com-
munity and the availability of resources there.
Hence, avoiding administrative barriers for regis-
tration in area of displacement is crucial so as to
address challenges that IDPs experience in
accessing PASNP and other long-term
assistance.
The 2019 Federal Government’s Strategic
Plan to address Internal Displacement and costed
Recovery/Rehabilitation is another important
instrument which provides governments with the
much-needed base to engage in efforts to resolve
displacement problems sustainably (OCHA
2019c). This instrument is limited in scope as it is
designed to address a particular phase of the dis-
placement process, i.e. the need to achieve dura-
ble solutions. The IDP Strategic Plan was adopted
with the overall aim of ensuring the voluntary,
safe, dignified and sustainable return/relocation
of people uprooted by conflict in different parts
of the country (OCHA 2019c). It envisages a
phased approach to return/reintegrate or relocate
IDPs. It aims to ensure return of 80% of IDPs to
their areas of origin, while 15% of the total IDPs
will be reintegrated in current areas of displace-
ment and 5% of the total IDPs will be relocated to
other areas (OCHA 2019c). Accordingly, the
government has completed the first phase of
government-­ led return operations (OCHA
2019c). Though the government insists that
return operations have been carried out in adher-
ence with internationally established principles
and practices, there have been incidents that dem-
onstrate that the return process is involuntary and
premature. Thus, the government has been coerc-
ing IDPs to return to unsafe areas through demol-
ishing displacement sites and restricting access to
humanitarian assistances (Refugee International
2019; OCHA 2019d).
Principles and the Kampala Convention empha-
sise that a competent authority has the duty to
ensure that IDPs’ return/reintegration or reset-
34
tlement process is voluntary, in safety and dig-
nity (UN Guiding Principles 1998; AU Kampala
Convention 2009). The IASC Framework on
Durable Solutions for IDPs also emphasises that
one of the key principles that should guide the
search for durable solutions is respect for the
right of IDPs to make an informed and volun-
tary choice on what durable solution to pursue
and also to participate in the planning and man-
agement of durable solutions (Brooking
Institution 2010). It has been noted that the
needs, rights and legitimate interest of IDPs
should be the primary consideration when mak-
ing decisions on durable solutions. In contrast,
Ethiopian government-led return operation has
disregarded individual rights and access to aid
given the dismantling of displacement sites, the
dispersing of IDPs upon return and minimal to
non-existent assistance made available in the
areas of return (OCHA 2019d). In some areas,
IDPs were intimidated, detained and beaten by
security force (OCHA 2019d). Although all
durable solution operations are to be conducted
upon prior assessments of availability of ser-
vices and security conditions in area of returns,
many returnees end up in secondary displace-
ment sites near their village due to inadequate
security and the lack of interim assistance in the
area of return (OCHA 2019d).
The IDP strategic plan has a number of limi-
tations that may affect its potential to address
the displacement crisis sustainably. First of all,
the IDP Strategic Plan of 2019 is designed to
address the durable solution needs of conflict-
induced IDPs. Thus, this instrument does not
provide much support for those persons dis-
placed, for instance, by climate change factors.
Secondly, it does not spell out the rights of
IDPs and the corresponding responsibilities of
state and other actors in detail. Consequently,
there are gaps in the implementation of the
strategic plan. While conditions that help to
attain long-term safety, security and freedom
of movement are emphasised, the IDP strategic
plan does not provide intervention mechanisms
to restore livelihood without which displaced
persons cannot achieve sustainable solutions.
In contrast, the Ethiopia DSI circumvents the
E. Meskele Ashine
weakness of the IDP Strategic Plan by explic-
itly articulating location-­specific activities that
need to be in place to achieve local integration,
safe and voluntary return and sustainable re-
location (Ethiopia DSI 2019). Moreover, it also
provides for restitution of land and other prop-
erty and addresses challenges related to hous-
ing, land and property (Ethiopia DSI 2019).
However, the DSI does not address both devel-
opment-induced displacement and climate
change-induced displacement in greater detail
given that most intervention approaches envis-
aged under the DSI designed in response to
conflict-induced displacement.
On the other hand, the Somali Regional
Durable Solutions Strategy is much more detailed
than the DSI. Thus, the former seeks to assist
various categories of IDPs in the region to find
durable solutions (Somali Regional State
Government 2017). Moreover, it clearly articu-
lates the rights of IDPs and responsibilities of the
state and other actors (Ibid). Also, the strategy
reflects international established principles on
IDPs (Somali Regional State Government 2017).
However, this strategy is not applicable to all
IDPs since its scope is limited to IDPs in certain
geographic area.
In view of the existing gaps in the furtherance
of IDP protection, it is important for Ethiopia to
adopt a specific law on internal displacement.
This chapter examines the potential of the
Kampala Convention in filling this gap.
4 Implication of Ratification
of the Kampala Convention
Ethiopia ratified Kampala Convention on 13
February 2020 with reservations (FDRE House
of People’s Representative 2020). The instrument
fused into national law through “ratification
proclamation” entitled African Union Convention
for the Protection and Assistance of Internally
Displaced Persons in Africa Ratification
Proclamation No. 1187/2020 (herein after
Kampala Convention ratification proclamation).
According to the proclamation, Ethiopia accepts
the definition of IDPs as provided under Article
4 The Adequacy of Law and Policy Frameworks on Internal Displacement in Ethiopia: A Critical Appraisal
1(k) of the convention (Kampala Convention
Ratification Proclamation No. 1187/2020). This
marks a milestone achievement for the country
that has witnessed a significant rise of internal
displacement over the past years. As one of the
State Parties to the Convention, Ethiopia commit-
ted itself to very detailed obligations to protect
IDPs’ rights. One can plausibly argues that the
ratification of the Kampala Convention creates a
conducive environment to urge government to
adopt law and/or policy to give it domestic effect,
as well as to amend existing laws or policies
which are not compatible with the rights guaran-
teed under the treaty.
The need to consider the domestication of the
Kampala Convention is largely dictated by the
reality that Ethiopia is among the leading coun-
tries in internal displacement which are dispro-
portionately affected by the challenges of
displacement. Unresolved and cyclical inter-­
ethnic tensions combined with recurrent drought
and other natural disasters continue to generate
large number of IDPs, highlighting the impor-
tance of systematic and comprehensive approach
to resolve internal displacement problem. The
Kampala Convention provides an excellent
opportunity for states to put in place mecha-
nisms (including adoption of national frame-
works) that guide comprehensive responses to
internal displacement problems (Kampala
Convention 2009). The more compelling reason
is the fact that the existing legal and policy
frameworks do not provide adequate bases for
responding to the specific needs and vulnerabili-
ties of IDPs in Ethiopia. Evidently, the absence
of adequate domestic legal and policy frame-
works for the protection of IDPs underscores
the importance of domesticating the Kampala
Convention and the possible contribution it can
make to national efforts to deal with displace-
ment challenges.
Very important is the fact that the Kampala
Convention provides a basis for the accountabil-
ity of those who cause displacement (Dieng
2017). The importance of this provision lies in
the fact that more often than not, displacement is
35
caused by a breakdown in the rule of law (Dieng
2017: 276). This holds true in the Ethiopian con-
text where most of the displacements are insti-
gated by individuals and groups who are
“attempting to profit at the expense of citizenry
and in violation of human rights”(Addis Standard
2019). On the other hand, the Kampala
Convention articulates state obligation to ensure
individual accountability and accountability of
non-state actors who involves in displacing oth-
ers (Article 3(1)). This provision is critical in the
face of the increased incident of displacement
instigated by non-state actors like individuals and
group of persons in the country. In addition, the
Kampala Convention’s provision in relation to
obligations of international organisations and
humanitarian agencies (Article 6), compensation
(Article 12), registration and personal documen-
tation (Article 13) are relevant to improving the
protection of IDPs in Ethiopia.
5 Conclusion
The issue of internal displacement has become a
daunting challenge in Ethiopia due to the escala-
tion of inter-ethnic clashes and recurrent drought
and seasonal floods. Nevertheless, Ethiopia is yet
to establish the required legislative and policy
framework. While the existing domestic legal and
policy frameworks contain provisions relevant to
the protection of IDPs, they did not provide a
sound basis to address the specific needs and vul-
nerabilities of IDPs during all phases of displace-
ment. Most of the government’s and partner’s
efforts to deal with internal displacement are
based on short-term strategic plan and soft law
instruments that are unsuited to the displacement
situation. This protection imbalance exacerbates
the situation of IDPs in Ethiopia. Having ratified
the Kampala Convention, Ethiopia has made a
giant stride in reinvigorating its commitment
towards IDPs. However, Ethiopia needs to domes-
ticate the Kampala Convention which has the
potential of providing comprehensive guidance
on the protection and assistance of IDPs.
36 E. Meskele Ashine

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CN.4/1998//53
 Beyond Accountability
and Eminent Domain:
Development Rights
and Development-Induced
Displacement in Kenya
Nelly C. Rotich
Abstract
Internally displaced peoples’ right to develop-
ment is challenged by development-induced
displacements caused by either corporations
or states in exercising eminent domain rights
on public needs grounds. While eminent
domain for development projects are within
states’ mandates, states are obligated to pro-
mote and protect the right to development of
persons displaced by such development proj-
ects. States are called upon to balance the right
of internally displaced persons to develop-
ment and the need to develop for the public
good. This chapter therefore examines the
interplay between the duty to protect the right
to development of internally displaced per-
sons and the duty to develop for the public
benefit in the case of development-induced
displacements in Kenya.
Keywords
Internally displaced persons · Internal
displacement · Development ·
Developmentinduced displacement · Kenya
N. C. Rotich (*)
University of Pretoria, Pretoria, South Africa
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
R. Adeola (ed.), National Protection of Internally Displaced Persons in Africa, Sustainable
Development Goals Series, https://doi.org/10.1007/978-3-030-66884-6_5
5
1 Introduction
While it is within states’ mandates to compulso-
rily acquire land for development projects based
on public needs, states are mandated to promote
and protect the right to development of persons
displaced by development projects by balancing
the right of those displaced with the need to
develop for the public good. This chapter exam-
ines the structures put in place in Kenya in cre-
ating a balance. In analysing the developmental
challenges posed to internally displaced persons
(IDPs) by development-induced displacements
in Kenya, this chapter shall proceed in seven
parts. Section 2 interrogates the framework for
recognition and protection of the right to devel-
opment in Kenya. While the Sect. 3 examines
the framework for internal displacements by
development projects in Kenya. Section 4 analy-
ses select notable cases on internal displace-
ments by development projects in Kenya.
Section 5 then examines the interplay between
the right of IDPs to development and the right to
develop for the public benefit. Section 6 looks at
the eminent domain of the Government of
Kenya in relation to IDPs right to development
in Kenya. Section 7 analyses the challenges to
development posed by development-induced
displacements in Kenya. Section 8 then con-
cludes the chapter.
37
38
2 Frameworks
for the Protection
of the Right to Development
Whether or not development is a justiciable right
has been a subject of numerous debates by differ-
ent scholars. Kéba M’Baye, who is considered a
father of the right to development, in his 1972
lecture first made a proposal for a definition of
the right to development as a human right
(M’Baye 1972; Marks and Malhotra 2017). Saah
(2018) argues that the right to development ‘does
not concern charity but rather enablement and
empowerment’. Kofi Annan, the Former United
Nations Secretary General, defined the right to
development as ‘the measure of the respect of all
other human rights’.
The right to development was for the first time
recognised at the international level in 1945
under Paragraph (a) of Article 55 of the Charter
of the United Nations which promotes the right to
higher standards of living, full employment and
conditions of economic and social progress and
development. It was later recognised in 1986 fol-
lowing the adoption of the United Nations
Declaration on the Right to Development (UN
Declaration 1986). Article 1(1) of the UN
Declaration recognises the right of every person
‘to participate, contribute to and enjoy social,
cultural, political and economic development as
an inalienable human right’. The responsibility to
primarily create conditions for the realisation of
the right to development is bestowed on the state
under Article 3(1). Article 1 of The International
Covenant on Civil and Political Rights of 1966
recognises the right of every person to ‘pursue
their economic, social and cultural development
by virtue of the right self-determination’
(Browning 2011). These and other international
instruments ratified by Kenya are applicable in
Kenya by virtue of Article 2(5) and (6) of the
Constitution of Kenya, 2010.
At the regional level, the African Charter on
Human and Peoples Rights (the African Charter)
in 1981 recognised for the first time the right of
every person to economic, social and cultural
development. Just like the UN Declaration, the
primary obligation to realise the right to develop-
N. C. Rotich
ment rests with the state (Article 22). Article 20
of the African Charter provides for the right of
every person to pursue economic and social
development based on their chosen policy. In
addition to this, general satisfactory environment
favourable to development is guaranteed (Article
24).
The right to development was later recognised
by the African Commission on Human and
Peoples’ Rights (African Commission) in the
Centre for Minority Rights Development (Kenya)
and Minority Rights Group International on
behalf of the Endorois Welfare Council versus
Kenya, decided in 2009 (Endorois case). The
Commission re-affirmed the arguments made by
the United Nations Independent Expert that
development is not about provision by the states
but rather allowing people to choose what is best
for their development (Endorois case, para 278).
In so doing, the affected communities should not
be coerced in their choices of development
(Endorois case, para 279). The right to develop-
ment of indigenous people was also recognised
by the African Court on Human and People’s
Rights in African Commission on Human and
Peoples’ Rights versus The Republic of Kenya,
decided in 2017 (Ogiek case). Displacements in
this case were carried out to preserve Mau
forest.
Though the right to development is not
expressly provided for under the Kenyan law, the
Constitution of Kenya, 2010 protects the right of
every person to health, adequate housing and
freedom from hunger, clean and safe water, social
security and education (Article 43). These rights
constitute the right to development. The
Constitution of Kenya also recognises the right of
communities to further their development
(Article 174(d)). Sustainable development is also
outlined under the Constitution as a national
value and principle of governance (Article 10).
Development is believed to be at the epicentre of
every human activity and in eradicating poverty.
Development also allows human beings to enjoy
other freedoms and fundamental rights (Sen
1999). It is therefore necessary for the state and
corporations to protect the right to development
of persons displaced by development projects.
5 Beyond Accountability and Eminent Domain: Development Rights and Development-Induced…
3 Conceptualising Internal
Displacement by
Development Projects
in Kenya
Adeola (2017) analyses two forms of displace-
ments by development projects: direct and indi-
rect. She argues that direct displacements occur
‘when people are forced to move from their
homes in order to pave way for a development
project’. Indirect displacements on the other hand
‘occur when geographical, environmental or
socio-political consequences of a development
projects occurs over time’. In analysing
development-­induced displacement, Adeola
identifies various development activities not lim-
ited to ‘mining, agriculture, irrigation, airports,
industrial plants, railways, road developments,
urbanizations, forestry, conservation projects and
construction of hydroelectric power’. More often
than not, displacement by development projects
result in internal displacement situations.
Displacements by development projects are
recognised in Kenya under the Prevention,
Protection and Assistance of Internally Displaced
Persons and Affected Communities Act of 2012
(Kenya Law) (Kenya IDP Act). Article 2 of the
Kenya IDP Act includes in its definition of an
IDP, persons or groups of persons who are forced
to move from their homes as a result of ‘large
scale development projects’. Section 5 (2) of the
Kenya IDP Act obligates the Government and
organisations to prevent internal displacements
by development projects. Section 12 of the Kenya
IDP Act has established the National Consultative
Committee on IDPs whose responsibility is to
address internal displacement matters. It is tasked
with ensuring that there are no arbitrary displace-
ments of populations. Section 21 of the Kenya
IDP Act calls on the Government of Kenya to
refrain from relocation of people for
development.
At the regional level, Kenya is a party to the
Great Lakes Protocol on Protection and
Assistance to IDPs (Great Lakes Protocol) which
was adopted by the International Conference on
the Great Lakes Region in 2006. Article 1(5) of
the Great Lakes Protocol recognises that IDPs
39
include persons who have been displaced by
large-scale development projects. Article 5 of the
Great Lakes Protocol expressly calls on member
states to see to it that there are no arbitrary dis-
placements by development projects. Where it is
necessary to displace people for a development
project, states are called upon to provide ‘proper
accommodation’ to persons displaced by the
projects. The displacements ought to also meet
healthy, safety, nutrition and hygienic
conditions.
At the African level, internal displacement is
covered under the African Union Convention for
the Protection and Assistance of Internally
Displaced Persons in Africa 2009 (Kampala
Convention). Kenya is yet to sign and accede to
the Kampala Convention (African Union 2020).
This lack of accession notwithstanding, lessons
can be drawn from the Kampala Convention on
internal displacements by development projects.
Article 1(k) and (i) of the Kampala Convention
defines IDPs as persons or groups of persons who
in order to avoid the effects of armed conflict,
violation of human rights, generalised violence
situations or disasters have been forced to move
from their homes to another location within the
internationally recognised borders of the same
state. Though internal displacement as a result of
development projects is not expressly stated in
this definition, its inclusion may be implied firstly
from displacements resulting from ‘violation of
human rights’. This is so since displacement by
development projects often results in violation of
numerous IDP rights. Secondly, it can be implied
that the resultant causes list is non-exhaustive
hence a reading-in of displacement by develop-
ment projects. Thirdly, a reading of Article 10 of
the Kampala Convention demonstrates that par-
ties to the Convention had displacements by
development projects in mind. Fourthly, the
Kampala Convention ‘applies to all situations of
internal displacement regardless of its causes’
(Article 15(1)).
At the international level, the United Nations
Guiding Principles on Internal Displacements
were developed by the United Nations in 1998
(UN Guiding Principles 1988). Though it is a soft
law, the Kampala Convention, the Great Lakes
40
Protocol and the Kenya IDP Act draw inspiration
from it. The Preamble of the Kampala Convention,
the Preamble and Article 1(3) of the Great Lakes
Protocol and section 2 of the Kenya IDP Act rec-
ognise the UN Guiding Principles as an impor-
tant international framework for the protection of
internally displaced persons. The UN Guiding
Principles apply to IDPs in Kenya pursuant to the
Constitution of Kenya 2010 and the Kenya IDP
Act (Section 3). Principle 6 of the UN Guiding
Principles prohibits arbitrary displacements by
large-scale development projects.
4 Case Review
of Development-Induced
Displacements in Kenya
Kenya like most countries in Sub-Saharan Africa
has limited data on development-induced dis-
placements. The country’s quest for development
has witnessed a surge in large-scale development
projects in the recent past. Such development
projects have come at a cost, particularly, where
displacements of populations have been unlaw-
fully carried out. This section explores some of
the notable development-induced displacements
that have been reported in Kenya in order to point
out the extent to which the right to development
of displaced populations was infringed. They are
then examined against the obligation of the
Kenyan Government to develop for the greater
good.
To begin with, the Endorois case is a locus
classicus case on development-induced displace-
ments and the right to development. In this case,
the Kenyan government had evicted approxi-
mately 60,000 people of the Endorois commu-
nity to pave way for the creation of a game
reserve for tourism within the Lake Bogoria
region in Rift Valley. A communication was
lodged by the Centre for Minority Rights
Development (CEMIRIDE) with the assistance
of Minority Rights Group International (MRG)
and the Centre on Housing Rights and Evictions
on behalf of the community on allegations of vio-
lation of the African Charter, the Constitution of
Kenya and relevant international legal provisions.
N. C. Rotich
Specific rights that were alleged to have been vio-
lated are the failure to adequately compensate for
loss of property, violation of the rights to devel-
opment, culture and religion and disruption of
their pastoral enterprises. The African
Commission in its judgment held that the govern-
ment of Kenya had violated the Endorois’ rights
to property, health, culture, religion, free disposi-
tion of natural resources and development. The
Commission ordered for a reinstatement of the
Endorois to their land, compensation for loss
incurred and enjoyment of benefits derived from
the game reserve and employment opportunities
(Endorois case, paras 144–298; Juma 2013).
The decision of the African Court on Human
and Peoples’ Rights (African Court) in the
African Commission on Human and Peoples’
Rights versus The Republic of Kenya (Ogiek Case
2017) is yet another notable case that relates to
violation of the right to development due to dis-
placements by development projects in Kenya. In
this case, The African Court ruled the Government
of Kenya had violated various rights of the Ogeik
people. The facts of the case relate to evictions of
the Ogiek people from the Mau forest for the pur-
pose of preserving the forest. Over 200,000 peo-
ple of the Ogiek community were either faced or
threatened with evictions. Among other rights,
the African Court observed that the Kenyan
Government had violated the right to develop-
ment of the Ogiek people. The African Court was
not convinced by the Kenyan Government’s
argument that the evictions were necessary to
protect Mau forest. This was largely because, no
consultation between the Government and the
Ogiek community was conducted prior to the
evictions. The case was lauded for recognising
the rights of indigenous people.
In Save Lamu & 5 others v National
Environmental Management Authority (NEMA)
& another (Kenya Law Reports 2019), the local
community was threatened with direct and indi-
rect displacements for purposes of setting up a
coal-fired power plant in Kwasasi area in Lamu,
Kenya. The project was however challenged at
the Kenya National Environmental Tribunal in
2019 for failing to adequately engage the local
community. The environmental impact assess-
5 Beyond Accountability and Eminent Domain: Development Rights and Development-Induced…
ment license was suspended by the Tribunal in
June 2019 since the local communities were not
given adequate notice and opportunity to partici-
pate in the environmental impact assessment. The
exercise did not also take into account other fea-
sible alternatives to the project. The case called
for balancing of the economic benefits of the
project and the development rights of the local
communities. This case drew lessons from the
Lamu Port and Lamu-Southern Sudan-Ethiopia
Transport Corridor infrastructure project which
resulted in indirect displacements of populations
due to environmental impacts caused by the proj-
ect (United Nations Environment 2018). While
the project was necessary for the public good, the
development rights of the affected people was
disregarded.
Two other most recent Kenyan cases that
necessitated balancing between the right to devel-
opment of the affected people and the need to
develop for the public good are the Mau forest
evictions and the Embobut forest evictions. Both
the displacements were necessary in order to pre-
serve the environment. While it was justifiable
for the Government of Kenya to carry out the dis-
placements, the displacements were carried out
in ways that affected the right to development of
the affected people. The Mau forest evictions
resulted in massive displacements of the local
communities. The evictions were forceful and the
police officers deployed to foresee the eviction-­
destroyed property of the local communities. The
affected people were not allowed to salvage their
property. Land titles that were legally acquired
were cancelled by the Government of Kenya
(Human Rights Watch 2019). The Embobut for-
est evictions were forcefully carried out to pave
way for ‘Water Towers Protection and Climate
Change Mitigation and Adaptation Programme’,
a conservation programme under the funding of
the European Union. While this was a justifiable
reason, the displacements disregarded the rights
of over 2000 displaced families. Homes were
burnt down during the process and several other
properties destroyed (Amnesty International
2018, 2020). These cases justify the need for the
Government and corporations to see to it that the
right to development of local communities is pro-
41
tected where it is necessary to displace them for
purposes of development projects.
5 I nternally Displaced Persons’
Right to Development
Versus the Right to Develop
for the Public Benefit
This section builds on the preceding sections by
briefly analysing the conflicting IDPs’ right to
development and the right to develop for the pub-
lic benefit. The question that is often asked is:
which of these two competing rights rank higher?
This section shall attempt to give a response to
this question in the subsequent paragraphs.
To begin with, the preceding sections have
demonstrated that ‘every person’ is entitled to the
right to development. Additionally, Article 2(3)
of the UN Declaration observes that the right to
development necessitates ‘active, free and mean-
ingful participation in development’. The African
Commission in the Endorois case recognised five
main criteria for achieving the right to develop-
ment: ‘equitability, non-discrimination, partici-
pation, accountability and transparency’
(Endorois case, para 277). The African
Commission further opined that the right to
development of local communities is realised
when there is improvement of their ‘capabilities
and choices’ (Endorois case, para 283). It
emphatically stated that in achieving the right to
development, equity and choice are the overarch-
ing themes (Endorois case, para 278).
In Saramaka People v Suriname (Saramaka
case), the Inter-American Court of Human Rights
(Inter-American Court 2007) observed that the
state has a duty to consult with the communities
affected by a development project ‘in conformity
with their traditions and customs’ and allow them
to ‘reasonably participate in the benefits’ result-
ing from any such development project. The duty
to consult was also emphasised by the African
Commission in the Endorois case (Endorois case,
para 281). Such consultation, according to the
African Commission, should be effective and
must be done in good faith. This is attained by
obtaining the free, prior and informed consent of
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which it is capable of infinite multiplication, and when projected on
mercury, it will absolutely transmute it, the resulting gold bearing
every test. The base metals made use of must be purified to insure
the success of the operation. The process for the manufacture of
silver is essentially similar, but the resources of the matter are not
carried to so high a degree.
According to the “Commentary on the Ancient War of the Knights,”
the transmutations performed by the perfect stone are so absolute
that no trace remains of the original metal. It cannot, however,
destroy gold, nor exalt it into a more perfect metallic substance; it,
therefore, transmutes it into a medicine a thousand times superior to
any virtues which can be extracted from it in its vulgar state. This
medicine becomes a most potent agent in the exaltation of base
metals.
Among the incidental properties of the perfect mineral agent is the
conversion of flints into precious stones, but the manufacture of gold
and of jewels is generally declared to be the least of the
philosophical secrets, for the spirit which informs the mysterious
prima materia of the great and sublime work can be variously used
and adapted to the attainment of absolute perfection in all the “liberal
sciences,” the possession of the “whole wisdom of nature, and of
things more secret and extraordinary than is the gift of prophecy
which Rhasis and Bono assert to be contained in the red stone.”

FOOTNOTES:
[C] Baro Urbigerus—“One Hundred Aphorisms demonstrating
the preparation of the Grand Elixir.”
[D] Aphorismi Urbigerani.
[E] Commentary on the “Ancient War of the Knights.”
LIVES OF THE ALCHEMISTS.
 GEBER.
The first, and, according to the general concensus of Hermetic
authorities, the prince of those alchemical adepts who have
appeared during the Christian era, was the famous Geber, Giaber, or
Yeber, whose true name was Abou Moussah Djafar al Sofi, and who
was a native of Haman, in Mesopotamia, according to the more
probable opinion. He is also said to have been a Greek, a Spanish
Arabian born at Seville, and a Persian of Thus. Romance represents
him as an illuminated monarch of India. According to Aboulfeda, he
flourished during the eighth century, but later and earlier periods
have been also suggested. His life is involved in hopeless obscurity;
but his experiments upon metals, undertaken with a view to the
discovery of their constituent elements and the degrees of their
fusibility, led him to numerous discoveries both in chemistry and in
medicine, including suroxydised muriate of mercury, red oxyde of
mercury, and nitric acid. “It is thus that Hermetic philosophy gave rise
to chemistry,” says a writer in the Biographie Universelle, “and that
the reputation of Geber is permanently established, not upon his
search for an impossible chimera, but for his discovery of truths
founded on actual experience.”
With the characteristic prodigality of the Middle Ages, no less than
five hundred treatises have been attributed to the Arabian adept.
They are supposed to have embraced the whole circle of the
physical sciences, including astronomy and medicine. A few
fragments, comparatively, alone remain of all these colossal
achievements. Cardan included their author among the twelve most
penetrating minds of the whole world, and Boerhave spoke of him
with consideration and respect in his celebrated Institutiones
Chemicæ. According to M. Hoefer, he deserves to be ranked first
among the chemists and alchemists who flourished prior to Van
Helmont. “He is the oracle of mediæval chemists, who frequently did
nothing in their writings but literally reproduce their master. Geber for
the history of chemistry is what Hippocrates is for the history of
medicine.”
The name of Geber has been borne or assumed by several writers
subsequent to the Hermetic adept; in this way the few extant facts
concerning his life have been variously distorted, and books of later
date and less value falsely ascribed to him. An astronomical
commentary on the Syntaxis Magna of Ptolemy, in nine books, must
be included in this number. It is a work of the twelfth century, as may
be proved by internal evidence.
The extant works of Geber are, for the most part, in Latin, and are
all open to more or less legitimate suspicion. In the library at Leyden
there are said to be several Arabic manuscripts which have never
been translated, and there is one in the Imperial Library at Paris,
together with a Fragmentum de Triangulis Sphæricis which is still
unprinted. The most complete edition of Geber is that of Dantzich,
published in 1682, and reproduced in the Collection of Mangetus.[F]
First in importance among the works of the Arabian adept must be
ranked his “Sum of Perfection”—Summæ Perfectionis magisterii in
suâ naturâ Libri IV. The next in value is the treatise entitled De
Investigatione perfectionis Metallorum, with his Testament, and a
tract on the construction of furnaces.

The “Sum of Perfection, or the Perfect Magistery,” claims to be a

compilation from the works of the ancients, but with the doubtful
exception of pseudo-Hermes, we are acquainted with no alchemical
authors previous to the supposed period of Geber. A knowledge of
natural principles is declared to be necessary to success in the art.
The natural principles in the work of nature are a potent spirit, and a
living or dry water. The disposition of the philosophical furnace and
of the vas philosophorum is clearly described; the latter is a round
glass vessel with a flat round bottom, and has several elaborate
arrangements. A marginal note, however, declares that the account
of it is hard to be understood. Among all the obscurities of the
treatise, it is absolutely plain that it is concerned with metals and
minerals. The properties of sulphur, mercury, arsenick, gold, silver,
lead, tin, copper, iron, magnesia, lut, marchasite, are discussed in
such a manner that it is impossible to establish an allegory, or to
interpret the words of the writer in other than a physical sense.

FOOTNOTES:
[F] J. J. Mangeti, “Bib. Chem. Curiosa,” 2 v. fol. 1702.
 RHASIS.
Rhazes, or Rasi, whose true name was Mohammed-Ebn-
Secharjah Aboubekr Arrasi, was a celebrated Arabian physician and
chemist, who was born about the year 850 at Ray in Irâk, upon the
frontiers of Khorassan. In his youth he was passionately devoted to
music and to frivolous amusements; he did not begin the study of
medicine till he was thirty years of age, but he soon surpassed, both
in skill and in knowledge, all the physicians of his time. He devoted
himself with equal zeal to philosophy, is said to have journeyed into
Syria, Egypt, and even into Spain, and successively took charge of
the famous hospital at Bagdad, and of another in his native town. He
was naturally good and generous, and he devoted himself to the
service of the poor. His oriental panegyrists call him the Imam
among the scholars of his time, and western writers describe him as
the Galen of the Arabians. By his assiduous attention to the
multitudinous varieties of disease he obtained the appellation of the
experimenter, or the experienced. No less than two hundred and
twenty-six treatises are said to have been composed by him. To
some of these Avicenna was largely indebted, and even in Europe
he exercised considerable influence, for his writings on medicine
were the basis of university teaching up to the seventeenth century.
Of the twelve books of chemistry which have been attributed to
Rhasis several are probably spurious, and few have been printed.
He was an avowed believer in the transmutation of metals, and,
having composed a treatise on the subject, he presented it in person
to Emir Almansour, Prince of Khorassan, who was highly delighted,
and ordered one thousand pieces of gold to be paid to the author as
a recompense. However, he desired to witness the marvellous
experiments and the prolific auriferous results with which the work
abounded. Rhasis replied that he might certainly be gratified in his
sublime curiosity if he provided the necessary instruments and
materials for the accomplishment of the magnum opus. The Emir
consented; neither pains nor expenses were spared over the
preliminary preparations, but when the time came the adept failed
miserably in his performance, and was severely belaboured about
the head by the enraged potentate with the unprofitable alchemical
treatise. Rhasis was old at the time, and this violence is by some
declared to have been the cause of his subsequent blindness. He
died in poverty and obscurity, a point which is not supposed to
disprove his possession of the powerful metallic medicine. The date
of his death is uncertain, but it was probably in the year 932.

The writings of Rhasis, like those of Geber, enlarge on the

planetary correspondences, or on the influence exerted by the stars
in the formation of metallic substances beneath the surface of the
earth. The explicit nature of the recipes which he gives may be
judged by such directions as Recipe aliquid ignotum, quantum
volueris. It is to him, nevertheless, that we owe the preparation of
brandy and several pharmaceutic applications of alcohol. He was the
first to mention orpiment, realgar, borax, certain combinations of
sulphur, iron, and copper, certain salts of mercury indirectly obtained,
and some compounds of arsenic.[G] He was also a zealous promoter
of experimental methods.

FOOTNOTES:
[G] Figuier, L’Alchimie et les Alchimistes, pp. 95, 96.
 ALFARABI.
The middle of the tenth century was made illustrious by one of
those celebrated men who do honour to the sciences in which they
engage. This was Abou-Nasr-Mohammed-Ibn-Tarkan, commonly
called Farabi and Alfarabi—a man of universal genius, who
penetrated all subjects with equal facility, fathoming the most useful
and interesting sciences, and passing for the greatest philosopher of
his time.
He was born at Farab, now known as Othrar, in Asia Minor. He
was of Turkish origin, but repaired to Bagdad to acquire a more
perfect knowledge of Arabic; there he devoted himself with zeal and
enthusiasm to the study of the Greek philosophers under Abou
Bachar Maltey, an expounder of Aristotle. From Bagdad he
proceeded to Harran, where John, a Christian physician, was
teaching logic. In a short time Alfarabi surpassed all his other
scholars, but he left Harran and visited Damas, thence penetrating
into Egypt. Early attracted towards the secrets of nature, he spent a
great portion of his life in incessant wanderings, collecting the
opinions of all the philosophers he could meet with on these and on
kindred subjects. He despised the world, and took no pains to
acquire wealth, though he wrote upon alchemy, that is, if the
Hermetic works which are attributed to him be genuine. His erudition
and indefatigable activity are attested by his other writings, which
variously treat of philosophy, logic, physics, astronomy, and
mathematics. His chief reputation is based on a sort of
encyclopædia, where he gives a description, with an exact definition,
of all the arts and sciences; and on a celebrated musical treatise,
wherein he ridicules the pythagorean speculations upon the music of
the spheres, and proves the connection of sound with atmospheric
vibrations.
According to several authorities, he was protected and supported
in his later years by the cultured and enlightened Seïf Eddoula, who
is represented as Prince of Damas, but who seems to have been
Sultan of Syria, and to have made the acquaintance of the scholar in
the following curious manner.
Alfarabi was returning from a pilgrimage to Mecca, when, passing
through Syria, he stopped at the Court of the Sultan, and entered his
presence while he was surrounded by numerous sage persons, who
were discoursing with the monarch on the sciences.
Alfarabi, ignorant of, or else wholly ignoring, the usages of society,
presented himself in his travelling attire; and when the Sultan desired
that he should be seated, with astonishing philosophical freedom, he
planted himself at the end of the royal sofa. The prince, aghast at his
boldness, called one of his officers, and in a tongue generally
unknown commanded him to eject the intruder. The philosopher,
however, promptly made answer in the same tongue: “Oh, Lord, he
who acts hastily is liable to hasty repentance!” The prince was
equally astounded to find himself understood by the stranger as by
the manner in which the reply was given. Anxious to know more of
his guest, he began to question him, and soon discovered that he
was acquainted with seventy languages. Problems for discussion
were then propounded to the philosophers who had witnessed the
discourteous intrusion with considerable indignation and disgust, but
Alfarabi disputed with so much eloquence and vivacity that he
reduced all the doctors to silence, and they began writing down his
discourse. The Sultan then ordered his musicians to perform for the
diversion of the company. When they struck up, the philosopher
accompanied them on a lute with such infinite grace and tenderness,
that he elicited the unmeasured admiration of the whole
distinguished assembly. At the request of the Sultan he produced a
piece of his own composing, sung it, and accompanied it with great
force and spirit to the delight of all his hearers. The air was so
sprightly that even the gravest philosopher could not resist dancing,
but by another tune he as easily melted them to tears, and then by a
soft unobtrusive melody he lulled the whole company to sleep.
Great was the anxiety of the Sultan to retain so accomplished a
person about him, and some say that he succeeded, others that the
philosopher declined the most brilliant offers, declaring that he
should never rest till he had discovered the whole secret of the
philosopher’s stone of which he had been in search for years, and to
which, from his discourse, he appeared to be on the point of
attaining. According to these biographers, he set out, but it was to
perish miserably. He was attacked by robbers in the woods of Syria,
and, in spite of his courage, was overpowered by numbers and
killed. This occurred in the year 954. Others say that he died at
Damas, enjoying the munificence of the Sultan to the last.
 AVICENNA.
Khorassan produced another celebrated adept at the end of the
tenth, or, according to an alternative opinion, about the middle of the
eleventh century. This was the illustrious Ebn Sina, commonly called
Avicenna, who was born at Bacara, the principal city of that province
of Persia. The exact date of his birth has been fixed, but in the
absence of sufficient authority, at the year 980. He is equally
celebrated for the multiplicity of his literary works and for his
adventurous life. At an early age he had made unusual progress in
mathematics, and his gifted mind soon penetrated the mysteries of
transcendental philosophy. He was only sixteen when he passed
from the preparatory sciences to that of medicine, in which he
succeeded with the same celerity; and great is the sagacity
attributed to him in the knowledge of diseases. He is praised in
particular for having discovered that the illness of the King of
Gordia’s nephew was occasioned by an amorous passion which he
had carefully concealed, and for the stratagem by which he
discovered the object of the young man’s affections.
His credit as a physician and philosopher became so great that the
Sultan Magdal Doulet determined to place him at the head of his
affairs, and appointed him to the distinguished position of Grand
Vizier; but, notwithstanding the religion of Mohammed, which
Avicenna professed, he drank so freely, and his intemperance led to
so much immorality and disorder, that he was deprived of his
dignities in the State, and died in comparative obscurity at the age of
fifty-six. He was buried at Hamadan, a city of Persia, which was the
ancient Ecbatana.
Though his history gave rise to the saying that he was a
philosopher devoid of wisdom, and a physician without health, the
Arabs long believed that he commanded spirits, and was served by
the Jinn. As he sought the philosophic stone, several oriental
peoples affirm him to be still alive, dwelling in splendid state,
invested with spiritual powers, and enjoying in an unknown retreat
the sublime nectar of perpetual life and the rejuvenating qualities of
the aurum potabile.
Six or seven treatises on Hermetic philosophy are ascribed to
Avicenna; some of them are undoubtedly spurious. There is a
treatise on the “Congelation of the Stone” and a Tractatulus de
Alchimia, which may be found in the first volumes of the Ars Aurifera,
Basle, 1610. In 1572 the Ars Chimica was printed at Berne. Two
Hermetic tracts are also attributed to Avicenna by the compilers of
the Theatrum Chimicum, and an octavo volume Porta Elementorum,
appeared under his name at Basle during the third quarter of the
sixteenth century.
The grimoires and magical rituals frequently appeal to Avicenna as
the authority for their supernatural secrets.
The Tractatulus Alchimiæ treats of the nature of the sophic
mercury, which contains the sophic sulphur, and wherefrom every
mineral substance was originally created by God. This mercury is the
universal vivific spirit; there is nothing in the world to compare with it;
it penetrates, exalts, and develops everything; it is a ferment to every
body with which it is united chemically; it is the grand metallic elixir,
both to the white, or silver, and red, or gold producing, degrees. Its
potencies develop under the action of fire. Though found in all
minerals, it is a thing of the earth. It possesses lucidity, fluidity, and a
silverine colour. The perfection and the praise of gold are elaborately
celebrated in succeeding pages. The prima materia is declared to be
of a duplex nature, and the duplex elixir, which is the result of
successful operation, has powers that are beyond nature, because it
is eminently spiritual. The strength of the perfect magisterium is one
upon a thousand.
The chemical knowledge of Avicenna is derived from Geber, as his
medical erudition was borrowed from Galen, Aristotle, and other
anterior writers. He describes several varieties of saltpetre, and
treats of the properties of common salt, vitriol, sulphur, orpiment, sal
ammoniac, &c.
 MORIEN,
or Morienus, was a recluse born at Rome in the twelfth century,
and who took up his habitation in Egypt, where he became
profoundly versed in the chemistry and physics of the period. While
his education was still progressing in his native city, and under the
eyes of a father and mother who tenderly cherished him, he heard of
the reputation of Adfar, the Arabian philosopher of Alexandria, and
contrived to get a sight of his writings, when he was immediately
seized with a desperate desire to understand their meaning. The first
impressions of youth carried him away; he abandoned his home, and
set out for Alexandria, where, after some difficulty, he discovered the
abode of the philosopher. He made known to him his name, his
country, and his religion, and both appeared well contented with
each other—Adfar at having found a young man whose docility he
could depend on, and Morien that he was under the discipline of a
master who promised to unveil to him the source of all treasures.
They studied together; the amiability of the pupil encouraged his
instructor to make known to him all his secrets, after which,
according to one account, Morien went on a pilgrimage to
Jerusalem, and then turned hermit. It seems more probable that he
tarried with Adfar till his death, which in spite of his immense
treasures, his illumination, and his acquirements in arcane
philosophy, eventually occurred, and that then Morien, having paid
the last duties to his deceased initiator, quitted Alexandria, and
proceeded on his pilgrimage. He purchased a retreat near the city of
Jerusalem, where he settled in the company of a pupil, whom he
doubtless intended to form for science.
In the meantime, the papers of the adept Adfar appear to have
fallen into the hands of Kalid, the Soldan of Egypt, a wise and
curious prince. On the title-page of these manuscripts it was stated
that they contained the priceless secret of the philosophical stone.
The Soldan studied them with avidity, but made no progress towards
their comprehension, and not being able to accomplish the magnum
opus in his own person, he instituted a careful search for some one
who was qualified to interpret the unintelligible mysteries of the
manuscripts. He convened all the philosophers to Cairo, promised to
maintain them, and to provide them with all the materials and
machinery required for the success of alchemical processes, and
guaranteed a magnificent reward to any person who succeeded. As
it might happen even at this day, many persons presented
themselves who had their minds fixed upon the profits to be derived
from such transactions.
Morien, hearing with pain how much Kalid was deceived by
worthless pretenders, quitted his retreat and repaired in all haste to
Egypt, with the ultimate conversion of the Soldan quite as much at
heart as the communication of the mysteries of Adfar. The labours of
the pretended alchemists had produced nothing, as the initiated
hermit had expected, but something in the manner of Morien
impressed the prince, who appointed him a house in which he might
remain until he had finished the process. The work in due course
was brought to its absolute perfection; the philosopher inscribed
these words on the vase in which he placed the elixir:—“He who
possesses all has no need of others,” and, immediately quitting
Alexandria, he returned to his hermitage.
Possessed though he now was of the great and supreme elixir,
Kalid had no notion how to make use of it for the transmutations he
desired to accomplish. He was equally penetrated with regret at the
loss of a veritable artist, and filled with indignation at the false
alchemists who had promised him all things, but had accomplished
nothing, he ordained by an edict the capital punishment of every
exposed pretender. Some years passed away, during which the
Soldan vainly sought the possessor of the potent secret. At length
one day, being at the chase, and accompanied by a favourite slave,
an incident occurred which led to the eventual fulfilment of his
ambition. The slave, whose name was Galip, riding a little apart,
discovered an aged man at prayer in a solitary place. He questioned
him, and learned that he came from Jerusalem, where he had been
abiding in the hermitage of a holy man. He had heard of the anxiety
of Kalid to accomplish the mystery of Hermes, and knowing that the
hermit in question was a man of unparalleled skill in the sacred,
supernal science, he had quitted Palestine to inform the prince
thereof.
“Oh! my brother, what do you say?” exclaimed Galip. “No more! I
do not wish you to die like those impostors who have vaunted
themselves to my master.”
“I fear nothing,” returned the hermit. “If you be able to present me
to the prince, I will at once go before him with confidence.”
Galip accordingly presented him, and the old man informed Kalid
that he could enable him to accomplish the Hermetic work, that he
was acquainted with an adept hermit of the solitudes of Jerusalem,
who, by illumination from the Deity, had received supernatural
wisdom, and by his own admission was in possession of the
precious gift. The quantity of gold and silver which he brought each
year to Jerusalem was a conclusive proof of the fact.
The Soldan represented the danger of false promises to the
venerable man, and warned him how many deceptive and boasting
adventurers had already met their death. The hermit, however,
persisted in his confident assertions, and Kalid, hearing the
description of Morien, commanded Galip, his slave, to accompany
the old man with a sufficient escort to Jerusalem, where they
eventually arrived after many labours, and were rejoiced by the
discovery of Morien, who beneath his hair-cloth shirt is declared to
have preserved a perpetually youthful frame. Galip recognised him
at once, saluted him on the part of his master, and persuaded him to
return to the prince, who received him with unbounded satisfaction,
and would have engaged him in a worldly situation at his court.
Morien, however, was intent only on the conversion of Kalid; he
made known to him the mysteries of Christianity, but in spite of his
wisdom was unable to effect the desired end. He appears,
notwithstanding, to have discovered to him the secret of the
transcendent science, and the conversation of Morien and Kalid has
been written in Arabic, and translated into Latin and French.
 The subsequent history of Morien is not recorded. In the
collections of Hermetic philosophy there are some small tracts
attributed to Kalid, and also to Galip, who appears to have
participated in the secret. Morien himself is cited as the author of
three works, said to have been translated from the Arabic, but their
authenticity is, of course, very doubtful. The first is entitled Liber de
Distinctione Mecurii Aquarum, of which a manuscript copy existed in
the library of Robert Boyle. The second is the Liber de Compositione
Alchemiæ, printed in the first volume of the Bibliotheca Chemica
Curiosa. Finally, several editions have appeared of a treatise entitled
De Re Metallica, metallorum Transmutatione, et occulta summaque
antiquorum medicina libellus. It was first printed at Paris in the year
1559.
Bacon and Arnold, who appeared one at the beginning, and the
other at the end of the thirteenth century, have cited Morien as an
authority among the Hermetic philosophers, and Robertus
Castrensis assures us that he translated Morien’s book from the
Arabic language in the year 1182.
The Liber de Compositione Alchemiæ contains a Hermetic
conversation between Morien, Kalid, and Galip. It appeals to the
authority of Hermes, whom it states to have been the first who
discovered the grand magisterium, the secret of which he
transmitted to his disciples. It declares the prima materia to be one,
quoting the testimony of the wise king and philosopher Hercules and
the adept Arsicanus, with other pseudo authorities, which discredit
the date of the dialogue far more than they support the alchemical
theory in question.
 ALBERTUS MAGNUS.
The universal genius of Albert, joined to a laudable curiosity in so
great a philosopher, say the original “Lives of Alchemysticall
Philosophers,” did not allow him to pass by the Hermetic science
without giving it due attention.
Counter authorities, while admitting that in things scientific he must
be counted the most curious and investigating of the children of men,
emphatically assert that he has been erroneously included by
demonographers among the number of magicians, and that in the
twenty-one goodly folio volumes which comprise his opera omnia,
there is no trace of sorcery. In one place he declares formally that
“all those stories of demons prowling in the regions of the air, and
from whom the secrets of futurity may be ascertained, are
absurdities which can never be admitted by sober reason.” The
works on incredible secrets, so numerously attributed to him, are,
therefore, condemned as spurious, Albertus Magnus having no more
hand in their production than in the invention of the cannon and the
pistol, which has been attributed to him by Matthias de Luna.
So early, however, as the year 1480 the Great Chronicle of
Belgium records him magnus in magia, major in philosophia,
maximus in theologia. It is futile for the historians of his order to
argue that Albert never applied himself to the Hermetic art, says an
anonymous writer. His books alone—those which are his
incontestably—bear witness to his alchemical erudition, and as a
physician he carefully examined what regards Natural History, and
above all the minerals and metals. His singular experiments are
recorded in the Secretum Secretorum, which first appeared at
Venice in 1508.
Michael Maier declares that he received from the disciples of St
Dominic the secret of the philosophical stone, and that he
communicated it in turn to St Thomas Aquinas; that he was in
possession of a stone naturally marked with a serpent, and endowed
with so admirable a virtue that on being set down in a place infested
with such reptiles, it would attract them from their hiding places; that
for the space of thirty years he employed all his knowledge as a
magician and astrologer to construct, out of metals carefully chosen
under appropriate planetary influences, an automaton endowed with
the power of speech, and which served him as an infallible oracle,
replying plainly to every kind of question which could possibly be
proposed to it. This was the celebrated Androïd, which was
destroyed by St Thomas under the impression that it was a diabolical
contrivance.
The most marvellous story of his magical abilities is extant in the
history of the University of Paris. He invited William II., Count of
Holland and King of the Romans, to a supper in his monastic house
at Cologne. Although it was midwinter Albertus had tables prepared
in the garden of the convent; the earth was covered with snow, and
the courtiers who accompanied William murmured at the imprudence
and folly of the philosopher in exposing the prince to the severity of
such weather. As they sat down, however, the snow suddenly
disappeared, and they felt not only the softness of spring, but the
garden was filled with odoriferous flowers; the birds flew about as in
summer, singing their most delightful notes, and the trees appeared
in blossom. Their surprise at this metamorphosis of nature was
considerably heightened when, at the end of the repast, these
wonders disappeared in a moment, and the cold wind began to blow
with its accustomed rigour.
The life of Albertus belongs to the history of theology. He was born
in Suabia, at Larvigen, on the Danube, in 1205. He is accredited with
excessive stupidity in his youth, but his devotion to the Virgin was
rewarded by a vision, which was accompanied by an intellectual
illumination, and he became one of the greatest doctors of his time.
He was made provincial of the Dominicans, and was appointed to
the bishopric of Ratisbon, which he subsequently resigned to pursue
his scientific and philosophic studies in a delightful conventual retreat
at Cologne. In his old age he relapsed into the mediocrity of his
earlier years, which gave rise to the saying that from an ass he was
transformed into a philosopher, and from a philosopher he returned
into an ass.
The term Magnus, which has been applied to him, is not the
consequence of his reputation. It is the Latin equivalent of his family
name, Albert de Groot.
Among the spurious works attributed to him is that entitled Les
Admirables Secrets d’Albert le Grand, which is concerned with the
virtues of herbs, precious stones, and animals, with an abridgment of
physiognomy, methods for preservation against the plague,
malignant fevers, poisons, &c. The first book treats of the planetary
influences in their relation to nativities, of the magical properties
possessed by the hair of women, of the infallible means of
ascertaining whether a child still in the womb is male or female, &c.
In the others there is a curious chaos of remarkable superstitions
concerning urine, vermin, old shoes, putrefaction, the manipulation
of metals, &c.
A magical grimoire entitled Alberti Parvi Lucii Liber de Mirabilibus
Naturæ Arcanis, adorned with figures and talismans, appeared at
Lyons, bearing the Kabbalistic date 6516. The composition of
philtres, the interpretation of dreams, the discovery of treasures, the
composition of the hand of glory, the ring of invisibility, the
sympathetic powder, the sophistication of gold, and other marvels,
are familiarly explained; but this work is another forgery, and an
insult to the memory of a really illustrious man.
In the treatise which he wrote upon minerals, Albert informs us
that he personally tested some gold and silver which had been
manufactured by an alchemist, and which resisted six or seven
exceptionally searching fusions, but the pretended metal was
reduced into actual scoriæ by an eighth. He recognises, however,
the possibility of transmutation when performed upon the principles
of Nature. He considers that all metals are composed of an unctuous
and subtle humidity, intimately incorporated with a subtle and perfect
matter.
If the purely alchemical works which are ascribed to Albertus have
any claim to authenticity, he must be ranked as a skilful practical
chemist for the period in which he flourished. He employed alembics
for distillation, and aludels for sublimation; he also made use of
various lutes, the composition of which he describes. He mentions
alum and caustic alkali, and seems to have been aware of the
alkaline basis of cream of tartar. He knew the method of purifying the
precious metals by means of lead and of gold, by cementation,
likewise the method of testing the purity of gold. He mentions red
lead, metallic arsenic, and liver of sulphur. He was acquainted with
green vitriol and iron pyrites. He knew that arsenic renders copper
white, and that sulphur attacks all the metals except gold.[H]

FOOTNOTES:
[H] Thomson, “Hist. of Chemistry,” vol. i., pp. 32, 33.