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