Involuntary Resettlement0P 4.12: Planning Instruments
WB Safeguards Training WorkshopTbilisi, May 2013
Cartoon by Chris Madden
Resettlement Instruments Resettlement plan
When it is possible to determine displacing population during project preparation (i.e. site-specific resettlement)
Abbreviated resettlement plan When affected people are not physically displaced and less
than 10% of their productive assets are lost, or fewer than 200 people are displaced
Resettlement policy framework In a project with multiple subprojects where population to
be displaced not know during project preparation (i.e. linear resettlement
Process framework For projects involving restriction of access to legally
designated parks and protected areas resulting in adverse impacts on the livelihoods of affected people
Key Planning Objectives
Identify adverse impacts for avoidance, minimization or mitigation
Assist affected people to improve, or at least restore, incomes and living standards
Provide arrangements and resources for implementation of mitigation measures
Mitigating risks for affected people helps minimize risks to borrower and Bank, too
Key Planning Considerations
RAP is borrower’s responsibility to prepare and implement
Implementers and affected people should be involved in planning process
Compensation and other necessary assistance provided before impacts are imposed
Bank acceptance required at appraisal (or prior to subproject approval)
RAP: Institutional Aspects
Policy and regulatory gap analysis Timetable linked to project implementation Organizational roles and capacity assessment Monitoring arrangements Consultation and information dissemination Grievance procedures
RAP Content
Description of project and impacts Impact avoidance and minimization efforts Identification of affected persons and impacts Compensation at replacement value Other assistance measures Relocation site plan (if relevant) Income restoration plan (if relevant) Budget and financial arrangements
Conducting Census and Inventory
100% census is essential for identifying and enumerating all affected people (build on the social component of ESIA –nature of impacts/direct and indirect)
Inventory of affected assets essential to categorization of impacts and formulation of assistance
Income-related impacts and other potential socioeconomic issues can be considered on sample survey basis
Full and timely data gathering is key to establishing eligibility, budgeting, monitoring and resolution of grievances
Consultation and Participation Policy requirement: “displaced persons should be
meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs”
Meaningful consultation:• A two-process in which stakeholders provide advice and input
on the design of proposed projects• Iterative process from project preparation to completion• Promotes dialogue between governments, affected
communities, NGOs and implementing agencies Lack of reliable project information and involvement of
affected persons can lead to conflict and adversely affect the resettlement program
GRM: timely, easy to use point person with the responsibility
of coordinating grievances (receive and sort)
track and monitor grievance acknowledgement and resolution multiple channels for receiving
feedback need to be established (mail, fax, e-mail, website, telephone, in person)
M o d ule III - Ho w / Co nsultatio n / Reco rd 18
K eep g o o d reco rd s o f co n s u lta tio n s in o rd er to :
1 . D oc um e nt w he n a nd w he re c onsu lta tions w e re he ld
2 . K e e p tra c k of issue s ra ise d , so lu tions p rov ide d by pe ople (in form m gm t. p la ns)
3 . Sum m arize ke y issue s a nd po te n tia l so lu tions – substanc e of c onsu lta tions
4 . D oc um e nt w ha t pe op le sa id (v ie w s of d iffe re n t sta ke ho lde rs) to de m onstra te
tha t a ll v ie w s c onside re d broad c onse nsus
I f p o ss ib le , m a k e e le c t r o n ic c o p ie s…
Eric Brusberg
Mitigation Measures
Cash compensation may be appropriate when:
Land taken by the project is a small fraction of the affected asset and residual is viable
Livelihoods are not land based
Cash compensation is the preferred option of displaced people and they have the capacity for self-resettlement
Mitigation Measures
To provide prompt compensation at full replacement cost for losses of assets attributable directly to the project
Provide assistance during relocation
To provide residential houses, or housing sites, or agricultural sites, least equivalent to the advantages of the old site
Mitigation Measures
Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living
Moving expenses• Employment training• Income support while
awaiting income restoration
Develop affordable and accessible grievance redress mechanisms
Replacement Costs where there is no formal market
Structures – estimate the cost of materials and labour to re-construct the shed etc. today. Upgrade to minimum safety standard e.g. no asbestos
Land – replacement land as a priority. Failing land availability or person’s choice to move to other sources of livelihood then compensation of 5 years produce of the land
Fruit trees – 5 years yield calculated at rate of highest yield over last 3 years OR
sapling plus annual yield x age of tree or annual yield x number of years of productivity
Shade trees – 2/3 times value of wood of tree (depending on how long tree takes to grow) plus sapling
Grazing land and common property resources –alternative site if available. if temporary loss only, then option for stall feeding or compensation for purchase of supplemental produce in case of loss of edibles. If permanent loss then some kind of community investment or micro finance fund can be established.
Vulnerable groups:
Examples include (HH, Groups, communities):below poverty line, landless, elderly, women, children, handicapped, single parents, indigenous peoples, ethnic minorities
Look at the specific impacts on each sub group and go beyond the standard examples given above.
For example, urban vendors / herders / school children may
be affected by specific impacts. Identify specific measures to mitigate the impact on
vulnerable groups (women headed households given extra compensation for labor for house construction).
General vulnerability is relevant to the extent that any rehabilitation measure has to be done to a minimum acceptable development standard
Aim for livelihood restoration rather than just replacement.
Livelihood Restoration
Impacts• Loss of income-earning capacity• Compensation alone does not guarantee the restoration or
improvement of living standards• Example: agricultural land has a market value (requires
compensation), but it is also the basis for livelihood and future earning capacity (requires rehabilitation)
Issues
• Household may have multiple providers of income – require intra-household analysis
• Women have different opportunities for employment – require gender analysis
• Vulnerable groups (poor, elderly, ethnic minorities) have different opportunities for livelihood restoration – establish criteria for vulnerability
Practical Problems
RAP inputs and processes are more time-intensive than usual domestic practice
Consultation and information disclosure requirements may be more extensive
Clarifying responsibilities and inter-agency coordination can be difficult
Bridging gaps: the challenge of going beyond existing regulations
Resettlement Policy Framework
RPF establishes principles and procedures for subsequent planning and implementation
Prepared when it is not possible to finalize a RAP by appraisal (lack of project definition, others)
Technical planning cannot be done if location, nature and scale of impacts are not known
Bank acceptance of RAP required prior to ‘approval of financing’ and initiation of works
Content of RPF
Description of project and estimated impacts Explanation why full RAP planning is not possible Key principles and objectives Policy and regulatory gap analysis Plan preparation and approval process Organizational roles and procedures Consultation, disclosure and grievance redress
commitments
Recurring RPF Issues
RPF is borrower’s document, representing acceptance of policy obligations
RPF provides tentative agreement; RP reviewed and approved based on final design
RPF should reflect level of information available at appraisal stage
Planning or implementation issues often arise if borrower ownership of RPF is weak
Process Framework
Applicability: Restrictions on access by users to resources in legally designated parks or conservation areas
Objective: Livelihood restoration “in a manner that maintains the sustainability of natural resources” and does not adversely affect user livelihoods.
Process Framework Requirements
An acceptable process framework document is required for appraisal.
The framework establishes a participatory process by which appropriate restrictions and mitigation measures, as well as implementation and monitoring arrangements, are to be considered
An acceptable plan of action is required prior to enforcement of restrictions
The plan of action describes specific restrictions, measures to be undertaken to assist affected persons, and arrangements for implementation and monitoring