northwest irrigation sector project resettlement framework · northwest irrigation sector project...

Supplementary Appendix G, page 1

Northwest Irrigation Sector Project

Resettlement Framework Contents 1. Introduction

2. Socioeconomic survey and population record

3. Resettlement Impact in Three Provisional Core Subprojects

4. RGC Resettlement Policy and Legal Framework 5. Eligibility of APs

6. Entitlements 7. Valuation and replacement of assets

8. Income Restoration

9. Gaps in policy and practice between ADB and RGC 10. Participation, Information and Consultation and the Grievance Process

10.1 AP Participation

10.2 Informing APs

10.3 The Grievance Process

11. Management and Organisation

12. Monitoring and Evaluation

13. Resettlement in the Project Cycle


Abbreviations And Acronyms ADB Asian Development Bank ADF Asian Development Fund AFD Agence Francaise de Development APIP Agriculture Productivity Improvement Project AUSAID Australian Agency for International Development CARERE UN Cambodia Rehabilitation and Regeneration Program CDC Commune Development Committee CSES Cambodian Socio-Economic Survey DDC District Development Committee DOA Department of Agronomy DOF Department of Fisheries EIA Environmental Impact Assessement FAO UN Food and Agriculture Organization FWUC Farmer Water User Community GTZ Gesellschaft Fuer Technische Zusammenarbeit-German Society for Technical

Assistance HH Households IA Implementing Agency MAFF Ministry of Agriculture Forestry and Fisheries M&E Monitoring and Evaluation MEF Ministry of Economy and Finance MFAIC Ministry of Foreign Affairs and International Co-operation MIME Ministry of Industry, Mines and Energy MIS Management Information System MLMUPC Ministry of Land Management Urbanization, Planning and Construction MOE Ministry of Environment MOP Ministry of Planning MPWT Ministry of Public Works and Transport MRD Ministry for Rural Development MRC Mekong River Commission MRCS Mekong River Commission Secretariat MOWRAM Ministry of Water Resources and Meteorology NGO Non-Governmental Organization PIME Project Implementation Monitoring and Evaluation PDAFF Provincial Department of Agriculture, Forestry and Fisheries PDE Provincial Department of Environment PDLMUPC Provincial Department of Land Management, Urban, Planning and Construction PDRD Provincial Department of Rural Development PDWRAM Provincial Department of Water Resources and Meteorology PIU Project Implementation Unit POF Provincial office of Fisheries POFW Provincial office of Forestry and Wildlife PMCU Project Monitoring and Coordinating Unit


PMO Project Management office PRDC Provincial Rural Development Committee PRA Participatory Rural Appraisal PSC Project Steering Committee RGC Royal Government of Cambodia RRA Rapid Rural Appraisal RRP Report and Recommendation of the President to the Board of Director SCIRIP Stung Chinit Irrigationn and Rural Infrastructure Project TA Technical Assistance TAC Technical Advisory Committee TCU Technical Coordinating Unit TNA Training Needs Assessment UNDP United Nations Development Programme UNESCO United Nation Education, Science and Culture Organization VDC Village Development Committee WMC Water Management Committee WUG Water User Groups


1. Introduction

The Northwest Irrigation Sector Project (the Project) is designed to assist an irrigation strategy and investment programme in Northwest Cambodia based on river basin development and the reconstruction of small and medium irrigation projects in four provinces: Pursat, Battambang, Beanteay Meanchey and Siem Reap. A sector review and project strategy and feasibility studies of four core subprojects during August 2002 to March 2003, of which three have been selected provisionally for implementation, has included the identification of their impact on affected persons, losses of land and houses and livelihoods and the planning of resettlement. The core subprojects are ones, which have provisionally been decided by the MOWRAM and the concerned provinces as priority projects. Selected core subprojects would provide the model for further subprojects in each province.

The Project provides the financing and technical assistance for detailed design studies and implementation of the core subprojects and the preparation and implementation of further selected subprojects in each province over a six-year period. This Resettlement Framework (RF) sets out the strategy and guidelines for resettlement and the policy, principles, procedures and implementation mechanisms applicable to all resettlement taking place in subprojects under the Project. Impact on affected persons (APs) and communities in the three core subprojects is mostly on agricultural land in the corridors of impact (COI) of main and secondary, or branch, canals and drains and in expanded reservoirs. Land losses in tertiary irrigated areas will generally be absorbed in voluntary land adjustment, but provision for compensation has been made for severe land losses in the COI of tertiary canals and drains of farmers with very small total holdings. The study shows that a resettlement plan (RP) should be provided for each subproject to be implemented under the Project.

There is no substantial relocation of communities and only scattered and localized replacement and relocation of housing, generally on houses which have been built on canal embankments or in reservoirs by relatively poor households which have migrated into these areas in recently years.

Land acquisition and resettlement are critical issues in regard to the restoration of livelihoods of APs, but also to farmer responses and participation and to the public generally, and to the concern and interests of NGOs. The project has particular relevance in this respect to RGC policy and practice, for which the project is intended to assist in establishing guidelines for resettlement in water resource development.

The impact of resettlement is made more sensitive in the project areas because of the level of poverty of affected and beneficiary populations - 40% to 60% of the communities affected are classified as poor or very poor1 and have food deficits for several months of the year. There is also a high level of landlessness, often affecting people who have settled in the COI of canals and in reservoirs. Landlessness is often related to recent migration and informal settlement of people uprooted and impoverished by war and civil conflict in the Pol Pot era.

2. Socioeconomic survey and population record. The sociological study carried out as part of the feasibility study for the core subproject area populations included sample survey and focus group discussions, which are reported on in the

1 Ministry of Planning and World Food Program. 2002. Estimation of Poverty Rates at Commune-level in Cambodia. Phnom Penh.


PPTA Final Report and RPs. The study also made use of the national population census, socioeconomic survey and village gazetteer conducted by the National Statistical Institute with assistance from UNDP and UNFPA in 1998, published in 1999/2000. These studies provide social and demographic data for all areas of Cambodia down to village level. More detailed data on household characteristics on these published surveys and census were available on CD ROM from the NSI.

Two separate surveys were carried out for purpose of RP preparation specifically of APs in the impact area of each core subproject, and which will be standard procedure for all subprojects: a socioeconomic household questionnaire survey of 100% of identifiable AP households, conducted as part of a Detailed Measurement Survey (DMS) which included an inventory of impact and losses; and a more detailed socioeconomic sample survey of a minimum of 20% of AP households directed to providing baseline data for the monitoring and evaluation of RP implementation in each core subproject. The latter utilized a Knowledge, Attitude, Response and Experience methodology for the external monitoring of the Project, set out in detail in terms of reference for the External Monitor in Appendix J.2.3 of the PPTA Final Report.

Completed questionnaires from these surveys are stored in the office of the Resettlement Unit at the MOWRAM PMO for purposes of detailed design, monitoring and evaluation in the core subproject areas. Downloaded data are stored on the RU computer, on EXCEL for the DMS and on ACCESS for the socioeconomic baseline sample survey of APs.

Resettlement monitoring and evaluation will make use of the socioeconomic baseline survey sample as a panel sample; i.e. the same sample of households will be returned to and the KARE questionnaire utilized to monitor and evaluate impact and effectiveness of project actions affecting these AP households, the questionnaire and information from the DMS and the record of subsequent interviews and data constituting an ongoing dossier for each household.

3. Resettlement Impact in Three Provisional Core Subprojects 3.1 Link Canal The Mongkol Borey-Kamping Pouy Link Canal (termed Link Canal) supplies the Kamping Pouy Irrigation Scheme, which is receiving assistance for irrigation management and agricultural development from Italian and Japanese sources. The Link Canal Subproject involves the construction of Headworks taking water from the Mongkol Borey River, the restoration of 7.0 km. of the old canal and the creation of 7.0 km of new canal to the reservoir to expand the capacity of the reservoir and irrigation supply to the existing irrigation scheme.

Four hundred and fifty-one households, approximately 2,300 people, will be affected by the Project. There are one hundred and thirty-five houses in the COI of the canal. One hundred and thirty-five houses in the COI of the headworks and canal and further sixty-two houses in the area of the reservoir, a total of one hundred and ninety-seven houses, are estimated to require relocation.

A total of 25.5 ha agricultural land will be acquired in the canal COI, requiring replacement or compensation. The major land loss will be a loss of wet season land use of about 1,338 ha in the reservoir area, affecting some 316 AP households. Some of this farmed land in the reservoir is owned by private individuals who are renting this land out to farmers.

To mitigate the disruption to houses, both in the COI of the canal and along the edge of the reservoir, along the Prekh Anlong Svay right bank, house sites will be provided and houses replaced with new materials at full replacement costs at a relocation site In Anlong Svay village.


3.2 Po Pi Deum

The Po Pi Deum Irrigation Sub-Project is a Khmer Rouge built irrigation scheme diverting water from the Mongkol Borey River to an adjacent irrigated area. There has been severe damage to the diversion structure and to embankments on the river and main canal. The project involves the rehabilitation of the headworks taking water from the river, strengthening of embankments, rehabilitation of the 1 km main canal, restoration of the 6 km secondary canal, the building of two branch canals and the creation of tertiary and in-field canal systems. The irrigated area is adjacent to the village.

The project also involves strengthening the existing Farmer Water User Committee and improvement of water use and agricultural production systems.

23 households will lose their houses at the headworks and along the tertiary and in-field canals. Households operating shops at the headworks at the junction with a main road will be relocated within the same communal area and the site improved. 200 households are estimated to lose a small area of land, on average 0.075 ha per household, in the construction of the two branch canals. Three of the households losing farmland in the area of the secondary canal will lose more than 10% of their total landholding. 3.3 Punley

The subproject site consists of a reservoir, formed by an embankment across the Prek Srae Memay, constructed during the Khmer Rouge regime in 1976, and irrigated land supplied directly from the reservoir. Four structures are incorporated in the embankment, one spillway and three outlets. There is no formal canal network associated with the outlets. The reservoir extends over approximately 200 ha at full design capacity of 1.0 MCM and is shallow, on average 0.5 m deep. It receives rainfall from surrounding hills but has a mainly flat or gently sloping catchment area some 60 square kilometers in extent to the east and northwest. The capacity of the existing reservoir will be increased from 1.0 to 3.0 MCM, a full irrigation system will be constructed and two branch canals built to serve up to 600 ha in the irrigated area which is fed by sluices directly from the reservoir. The embankment will be raised to achieve the increased reservoir capacity and developed, with bridging of the spillway and laterite surfacing, as an improved rural access road. The embankment will be extended to provide flood protection to the village of Punley Cheung. A system will be installed to provide the village with safe drinking water.

Impact on APs will mainly be through the acquisition of land for a Corridor of Impact (COI) of the new branch canal works, of average width of 14 m. and the increase in area of the reservoir. 189 households, approximately 1,062 people, will be affected by the Project. There are no houses affected in the COI of the canals or in the enlarged reservoir.

A total of 91 ha agricultural land will be acquired in the canals COI and in the enlarged reservoir, requiring replacement or compensation, but some land in the reservoir will be usable for recession cropping.


Table 1. Results of the Detailed Measurement Survey in the ThreeCore Sub-Projects

Project: Link Canal, Mongkol Borey - Kamping Pouy, Battambang Province Total Total Affected Land Loss of Agriculture Land Type of Affected House

Affected Families

Affected House

Female HHH

Disabled HHH

Income <10$

Landless HHH

Affected People

Residential(m²)

Agriculture (ha.) <10%

10%-20%

20%-50%

50%-100%

Total Agric. Land use of AP(ha) Thatch Wooden Concrete

451 197 45 45 100 30 2300 5910 1349* 63 2 316* - 1,450 157 40 0

*316 h/h in the reservoir area will lose irregular wet season land use but will gain regular irrigated agriculture in dry season land use.

Project: Po Pi Deum, Bantheay Meanchey Province Total Total Affected Land Loss of Agriculture Land Type of Affected House

Affected Families

Affected House

Female HHH

Disabled HHH

Income <10$

Landless HHH

Affected People

Residential(m²)


10%-20%

20%-50%

50%-100%


249 23 40 20 60 12 1,300 1658 15.0 150 40 10 0 250 16 6 1

Project: Punley irrigation Systems, Bantheay Meanchey Province Total Total Affected Land Loss of Agriculture Land Type of Affected House

Affected Families

Affected House

Female HHH

Disabled HHH

Income <10$

Landless HHH

Affected People

Residential(m²)


10%-20%

20%-50%

50%-100%


189 0 24 5 41 0 1062 0 90.7021 79 34 51 25 422 0 0 0


4. RGC Resettlement Policy and Legal Framework Project resettlement strategy follows ADB Guidelines and draft National Policy, currently under review by RGC.

There are three major elements in current national resettlement regulation and practice; one is development of a Cambodian national policy and regulatory structure assisted under ADB financed technical assistance and set out in a draft consultative paper of December 2001; the second, and in many respects the most effective factor is adherence to the ADB Guidelines required in Loan Agreements; the third is the enactment of the 30 August 2001 Land Law and its sub-decrees, which establish rights of land ownership and of entitlement to compensation and replacement in land losses resulting public works, for which the relevant clauses of the Land Law and of its sub-decrees will apply. A Sub-Decree on Social Concessions in particular provides the legal basis for allocations of communal land for purposes of the alleviation of landlessness and poverty, and would provide a basis for replacement of land lost in the context of involuntary resettlement.

An important aspect of resettlement policy is the extent to which these formal aspects of national law and guidelines and adherence to ADB or World Bank Guidelines are followed in projects initiated by MOWRAM from RGC or other sources. The Project has a specific purpose in strengthening the uniform application of guidelines and policy formulated in ongoing cooperation between ADB and RGC.

Resettlement will follow the ADB Guidelines and draft National Policy in establishing the following principles, which will be included in all subproject RPs:

• Steps will be taken to minimize the impact of project works on APs and their land and structures and to mitigate any adverse effects;

• A planned resettlement programme will be provided, including entitlements to replacement of land and other assets and/or compensation;

• APs and their representatives will participate fully in project design and works and in the resettlement planning and implementation;

• Specific provision will be made to safeguard or improve the welfare of affected vulnerable groups;

• The economic and social future of people shall not be unfavourably affected, and they will not face a material reduction in income, living standards or unnecessary social and cultural dislocation as a result of the project;

• The compensation to be provided is:

- Compensation at replacement cost for houses and other affected structures without deduction for depreciation or salvageable materials - For agriculture land, compensation in terms of land for land of equal productive capacity or compensation in cash permitting land purchase by APs of equal quality and productivity to that lost2;

2 ADB Guidelines and the draft national policy express a preference for compensation for land losses by means of land replacement rather than in cash. This preference was fully explored in consultation with APs, and a decision taken, confirmed by the IRC, to conform with any preference for cash compensation on the grounds that farmers would be able to replace land more suitably and more cheaply on their own account at substantially less than the amount of cash compensation. However both options should be


- Replacement of premise/residential land of equal size acceptable to the affected person - Replacement of commercial land of equal size and commercial potential acceptable to the affected person

• Disruption allowances and transfer and subsistence allowance when appropriate.

• The RP will provide for the monitoring and evaluation of resettlement by RGC, ADB and an External Monitor;

• No distinction will be made between APs with land title and those without title and whose land rights are based on land use and occupancy.

The RGC has, in its loan agreements with the ADB, adhered to the ADB’s Policy on Involuntary Resettlement, and is currently in process of formulating, with ADB assistance a National Policy on Involuntary Resettlement. This affirms that APs will be fully compensated for all assets lost as a result of water resource and other infrastructure projects, regardless of whether APs have formal title to the land, which they occupy and use. In accordance with ADB’S requirements, people eligible for compensation are all those who will experience negative impacts on their assets and livelihoods as a result of the Project.

5. Eligibility of APs In general, people eligible for compensation will include those affected in the following categories: • Land to be permanently acquired for the project:

Owners with formal legal title Owners/occupiers formally recognized as eligible for formal legal title under Cambodian

law, e.g. by possession of a certificate issued by the Commune or District Land Office Owners/occupiers who are recognized by Commune leaders as being in occupation of

such land prior to 30 August 30 Leaseholders and tenants of land

• Permanent removal of houses, other structures and improvements and land based assets,

such as trees and crops: Owners of houses and other structures (whether with land title or not) and whether the

house or structure was built with permit or not Tenants of houses and other structures

• Any person or business suffering temporary effects, such as disturbance to land, crops,

business operations during construction.

6. Entitlements

Entitlements of APs are set out in Box 1, Entitlements Matrix. Land, houses and other structures and other fixed assets, including trees, wells and graves will be compensated on the basis of survey agreed with APs and at prices based on the market and on the need for replacement of

available, including the inclusion of land acquired for secondary canals and drains in land adjustment by farmer to farmer exchange within irrigation blocks. An external agency appointed as an independent monitor will follow up and evaluate the effectiveness of each procedure.


livelihoods at at least their level prior to project actions. In addition to compensation for land or any structures each AP household will be entitled to a one-off Disruption Allowance to be paid in cash where the AP household is relocating away from the existing site. A rate in Riels, equivalent to US$ 40.00 per household has been determined as the Disruption Allowance.

Agricultural Assets

Annual Crops APs will be given two month’s notice that the land on which their crops are planted will be used by the project and that they must harvest their crops in time. If standing crops cannot be harvested eligible APs will be compensated for the loss of the unharvested crops at their market value as indicated in the table below:

Perennial Crops APs will be compensated for the loss of fruit trees, sugar palm and timber trees located within the COI and reservoir. The value will be calculated as the annual produce value multiplied by a five-year factor plus the cost of planting of seedlings. APs will be awarded the full value of any lost crops where the plants are near or ready to harvest.


Box 1 : Entitlement Matrix of Proposed Compensation and Resettlement: NWISP Thlea Maom Subproject1

Type ofLoss Application Entitled Person Compensation

1 Arable land Loss of arable land.

Eligible landholder with formal legal title, possessory land holder eligible for formal title, and possessory landholder having evidence accepted by the Commune of occupation of such land before August 30th, 2001 In irrigation areas this entitlement includes land lost to the construction of secondary canals and will also include any severe loss to individual APs in tertiary systems.

Land for land as a priority, or cash compensation for lost land at replacement cost; or “Land for land” will be provided in terms of a new parcel of land of equivalent productivity and with long-term security of tenure at the wish of APs. No distinction between titled and not-titled landholders. Replacement land to be free from taxes, registration and transfer costs. Severely affected farmers eligible for economic rehabilitation assistance and other allowances (disruption allowance; assistance to obtain training and employment.

Agricultural laborer Cash compensation equivalent to three months salary and assistance in obtaining alternative employment.

Lease holder or tenant, including non-paying tenants with permissory rights of land use

Cash compensation equivalent to replacement cost of gross harvest for one year. Disruption allowance and other allowances as applicable.

Temporaryacquisition or easement

Eligible landholder

Cash compensation based on opportunity lost during the period. Land returned to the landholder after use, fully restored or improved.

2 Residential land

Loss of residential land

Eligible landholder with formal legal title, possessory land holder eligible for formal title, and possessory landholder not eligible for fomal legal title under Cambodian law and can provide evidence of occupation of such land before August 30th, 2001

Compensation in cash at replacement cost or, at AP’s choice, replacement land of minimum plot of acceptable size or a plot of equivalent size, whichever is larger, either on fully serviced resettlement sites if provided or on other sites acceptable to APs. Replacement land to be free from taxes, registration and transfer costs. Eligible for relocation assistance and other allowances as applicable. Assistance to APs to permit on their own remaining land adjoining channel or reservoir embankment house/shop sites, or if no remaining land, for provision of a house/shop site along the embankment or in another suitable location.

Lessee, tenants or non-paying tenants with permissory land use rights.

Eligible for relocation assistance and other allowances, as applicable.


Temporaryacquisition

Landholder with formal legal title, possessory land holder eligible for formal title and possessory landholder not eligible for formal legal title under Cambodian law and can provide evidence of occupation of such land before August 30th, 2001

Cash compensation for the net loss of income and damaged assets. Land returned to original owner after temporary use, restored to previous condition or improved.

Lessee, tenant or non-paying tenant with permissory land use rights

Cash compensation and other allowances, as applicable.

3 Commercial land

Plots used for business affected

Landholder with formal legal title, possessory land holder eligible for formal title and possessory landholder not eligible for formal legal title under Cambodian law and can provide evidence of occupation of such land before August 30th, 2001

At AP’s option, provision of alternative business site of equal size and accessibility to customers, satisfactory to the AP OR compensation in cash at replacement cost for the affected land. When the affected premises are larger than the relocation plot, cash compensation at replacement cost to cover the difference in area. No distinction between titled and non-titled landholders. Replacement land to be free from taxes, registration and transfer costs. Cash compensation for lost income during the transition period. Eligible for relocation assistance and other allowances and rehabilitation assistance, as applicable.

Lessee, tenant or non-paying tenant with permissory land use rights

Assistance for finding new commercial site. Eligible for relocation assistance and other allowances and relocation assistance, as applicable.

Type ofLoss Application Entitled Person Compensation

4 Loss of structure

Loss of house, well, pond, fence, latrine, kiosk or shop, etc.

APs who are the recognised owner

Compensation in cash or materials at full replacement cost at current market value, with no deduction in compensation for depreciation or salvageable materials. Compensation will be based on a competent technical survey

Tenants renting structures Three months’ rent and other assistance with relocation (transport allowance, disturbance allowance)

5 Loss of business / incomes or

Loss of business / incomes /

Affected APs Cash compensation for the loss of business, incomes and wages. Assistance during the transition period.


employment employment Eligible for rehabilitation assistance and other allowances, as applicable.

6 Standing crops, trees

Crops or trees affected by land acquisition or temporary acquisition/easement

Owner of crops or trees

Compensation in cash calculated on the basis of type, age and productive value of affected crops or trees or replacement by tree planting at cost. Other allowances as applicable.

7 Common resources or infrastructure

Loss of access to community water supply, sanitation and drainage or other utility, market facilities, community grazing land or forest

Affected communities Replacement or compensation at the full cost of replacement at current market value with no deduction for age or depreciation or salvaged materials, or improved resource to increase benefits from the project.

8 Public Utilities

Loss of, or damage to, affected assets, partially or entirely (not applicable in this project).

AP Communities and public agencies. Replacement or improvement to the facilities.

9 Public facilities

Loss of, or damage to, public infrastructure

Concerned agencies Replacement or improvement to increase the benefits from the project, and compensation in cash at replacement cost to respective agencies.

10 Special assistance / allowance for vulnerable groups

Special assistance to vulnerable groups

APs belonging to vulnerable groups including households who are very poor (earning less than $10 per month), headed by the aged, women, disabled, or otherwise vulnerable such as ethnic minorities

A $20 allowance plus additional cash and other assistance based on identified needs and priorities, households with more than one factor of vulnerability being entitled to a $20 allowance for each factor. For example, households that are very poor and headed by a woman would be entitled to $40.

11 Disruption All severely Relocating households and households that Either a disruption allowance of $40 or of the price of 6 months


allowance affectedhouseholds

lose more than 10% of their total productive landholding

rice consumption for all members of the household, whichever is the greater, payable to all severely affected APs (i.e. who lose more than 10% of their total landholding)

12 Advice and assistance for training and employment

All severely affected farming households

Households that lose more than 10% of their total productive landholding

Advice and support of the Provincial and local authorities in obtaining training and employment for the household head and members of the household

13 Transport allowance

All relocating households and businesses who must move their personal possessions and old and new building materials

Relocating households and businesses Either provision of transportation by local authorities or cash sufficient to be able to transport possessions.


Wells

A payment will be made for each well lost as a result of actions by the project ranging from US$50 to US$75 depending on the type of well.

Ponds No compensation will be paid for ponds, but new ponds will be provided outside the COI at suitable locations, agreeable to the AP and the IRC.

Fences Fences, either made from timber or other materials, or “live fences” will be compensated for at a rate of US$ 0.75 per square metre. Concrete or masonry walls will be compensated at $1.50 per square metre.

Graves A sum ranging from US$ 50 to US$ 120 will be paid for each grave depending on the type of grave to be moved. Stupa or tombs will be compensated at the cost of rebuilding. Compensation for the displacement of graves and stupa may also include the costs of any ceremony, which accompanies relocation 7. Valuation and replacement of assets Land and structures lost through the impact of project operations are initially measured and valued during the DMS, basically on the principle of replacement cost at market rates but – especially when land and structures are within a Government Right of Way – also determined by the cost of replacement of long-term livelihood. In practice this will be mainly arrived at by providing the replacement cost regardless of legal possession or ownership. Measurements and valuations are discussed with APs in the presence of local leaders, and if requested by the AP, also on the EM, during the consultation phase between DMS and compensation. If the compensation or proposals for restoration are agreed the AP head of household provides his thumb-print to a document which records the measurement and sketch from the DMS and the rates and amount of compensation agreed. If the AP disputes the measurement or valuation or the proposed compensation or replacement, the AP is instructed how to make a written complaint under the grievance procedure, described above. In terms of reference for the EM provision has been made for the appointment of at least one senior researcher or team leader with survey and valuation training and for the intervention of the EM to assist in arriving at the resolution of grievances amicably at the local level. 8. Income Restoration The main measures are adopted in NWISP for the restoration of livelihoods and assets:


Land replacement where possible or preferred by the AP or compensation in cash at or above current market prices;

House and shop replacement at the cost of rebuilding and the restoration of plots and other assets on improved flood-free sites close to existing sites;

Support from provincial agricultural and other technical services for restoration and improvement and diversification of production activities;

The purchase of productive assets, including cattle, from compensation payments. The project provides technical assistance for credit support, training and agricultural production and diversification. It makes the assumption that cooperation will be established with provincial structures, other parallel projects and NGOs working in the project provinces for assistance with training, job creation and credit for agricultural, vocational skills, or enterprise development, with priority given to resettled and vulnerable households.

9. Gaps in policy and practice between ADB and RGC

Gaps in policy and practice lie in three main areas which are discussed further below:

– The absence as yet of a formal RGC policy or legal framework for involuntary resettlement;

– Some inconsistency in adherence to procedures which have been agreed to by RGC in RPs and in Loan Agreements;

– Ineffectiveness in the management and operation of contracts with an independent External Monitor.

The main gap in policy between RGC and ADB consist in the absence of a formal policy or legal framework for resettlement. The consultative document entitled Draft National Policy on Involuntary Resettlement of December 2001, prepared under ADB RETA 5935, has been reviewed by IRC staff in the MEF but not yet accepted by the IRC. It has, however, provided an important basis of consultation between RGC and other stakeholders and has been used as a source of guidelines for the preparation and implementation of RPs since its distribution. Other important aspects of resettlement policy and legislation are provided by the 2001 Land Law and its sub-decrees.

In almost all respects the December 2001 draft consultative document and RPs prepared during 1999 to 2003 have adhered to the ADB Guidelines on Involuntary Resettlement. It is stated in RPs that where there is any conflict between national law and policy and ADB Guidelines, the latter will prevail. As part of Loan Agreements, the inclusion of these provisions in RPs is a powerful basis of national resettlement policy and practice, but experience has shown that the monitoring of RP implementation has been weak and that this should be strengthened in project design and operations. Moreover there is little published evidence of conformity with these guidelines in RGC funded and operated projects and little cross-referencing of practice between ADB projects and those funded from other sources.

The second main gap is that of policy management, practice and administration, for which the MEF as secretariat to the IRC and having the chairmanship of the IRC, is responsible. In particular, for example, the MEF does not in practice provide the full compensation of APs prior to the commencement of works.

These deficiencies should be alleviated by both internal and external monitoring, but the monitoring process has been weakened in the past when MEF does not adequately adhere to


requirements for appointment and resourcing of the External Monitor (EM) from the start of projects.

The position of the EM is addressed in the Project by the appointment of a non-governmental agency with socio-economic survey and research experience for the full six years of the project. This provision is intended to allow the EM to work to an independent timetable and to clear terms of reference, reporting to the MOWRAM, the IRC and ADB.

The strengthened role of the EM is intended to be one of a number of measures to assist in the devolution of RP implementation to line agencies and decentralised structures, including management of resettlement operations by MOWRAM and directly by provincial governments through Resettlement Sub-Committees and support of the EM in property valuation and arbitration at provincial and local levels. For this purpose the EM would be appointed directly by MOWRAM.

Both the management of resettlement and relocation in post-project operations, which may, for example in land adjustment in tertiary and quaternary systems continue for some years following subproject implementation, require strengthened capacity in MOWRAM RU and devolved authority and capacity in Provincial DWRAM and Resettlement Sub-Committees and Working Groups. This process is at present excessively dependent on external technical assistance, and needs to be supported both by policy instruments and by capacity building. These are also needed to support Commune and Village level resettlement and grievance committees and the role of FWUCs - provided for in project technical assistance legislation but also needing to be enforced in law under existing sub-decrees and bye-laws – “prakat” – including MOWRAM Prakat 306 on the statute of FWUCs.

The NWISP terms of reference required a review of the functioning of MOWRAM in relation to MEF and the IRC in the preparation and implementation of resettlement. MOWRAM has substantially strengthened the role of its RU, which has conducted all operations up to the negotiation and payment of compensation and relocation, and operates on a par with the MEF IRC support unit. However, MOWRAM states its preference for the MEF to be responsible as secretariat and financial control for the management of all actions related to compensation, and recognises the IRC as a policy committee of the Council of Ministers. The Project strategy assumes that the IRC will of political necessity continue in this policy and regulatory role, but that the function of secretariat, managing the regulatory function for the IRC, could at some stage be given to a more technically equipped Ministry, such as MLMUPC.

The RU can also be supported and strengthened as part of a wider Social and Environmental Unit within the PMO or in the Planning Division of MOWRAM, both by increased and higher grade staffing and by TA and training. The provision of a separate office and computers for the RU, proposed by MOWRAM, will facilitate this development. Resettlement TA under NWISP and PIME operations and TA could be employed to consolidate this institutional and technical strengthening and support the creation of a Social and Environmental Unit within a Planning and Research Division.

10. Participation, Information and Consultation and the Grievance Process

10.1 AP Participation

An important aspect of the participation of APs will be that of their membership of Commune or Village Resettlement Committees consulting with the Provincial Resettlement Sub-Committee and Working Group on the implementation of RPs, and especially on replacement and compensation for losses of land, houses or other property and livelihoods.


Equally importantly, they will also be directly involved in the irrigation development, in decisions on means of avoiding unnecessary adverse impact and in the management of land adjustment, and in achieving direct and related benefits from irrigation and land use development, especially through membership of Farmer Water User Committees and Farmer Water User Groups. Both will play a major role in assisting replacement of land losses through land adjustment, especially in tertiary and quaternary systems. Both men and women will have the opportunity of employment in project construction works. Village and Commune Resettlement Sub-Committees will also be responsible for providing assistance to vulnerable households with land purchase and land and irrigation system development.

The Provincial and District governments will be fully and continuously involved in these consultations through the Provincial Resettlement Sub-Committee, Provincial and District Steering and resettlement committees. Provincial and District Staff, village and commune leaders and resettlement sub-committees will be involved in training programmes to ensure their full understanding and management of the resettlement programme.

10.2 Informing APs

Those potentially affected by irrigation works have been informed about the project and potential resettlement during the feasibility study and DMS. They will be further informed of the situation in a series of community meetings prior to the marking out of the alignment and the conduct of a final Identification Survey, the DMS and registration of APs at the design stage of selected subprojects. They will be informed of, and consulted as to any further developments and changes, as final decisions on widths and alignment are taken. This will be particularly important during implementation when APs must be involved in agreement on compensation and any relocation of land.

APs will take part in the selection and development of any replacement land or in receiving compensation, if this is the preferred option, both directly and through representation of FWUCs and Communes. They will also be consulted and asked to participate in any assistance needed to restore farming viability and restoration of livelihoods on the part of vulnerable households and in any restoration of community facilities.

The Provincial Resettlement Sub-Committee and Working Group, assisted by PDWRAM, will carry out an information campaign before conducting the registration of APs, and will for this purpose publish a booklet in Khmer, based on the draft provided by the Consultant. The information booklet will contain information on the Project compensation policy, compensation payment procedures, and construction schedule aimed at social preparation for relocation and resettlement of the affected persons. PDWRAM will be responsible for distribution of the booklets as well as monthly newsletters to affected communities for the duration of the Project through the provincial, district and village government offices. During the DMS, each household will be personally informed about the project, entitlements and procedures. The disclosure and consultation process is designed to achieve the following:

• Explain the relevant details of the Project scope and schedule,

• Explain the RP and the various degrees of project impact,

• Provide details of the entitlements under the RP and what is required of APs in order to claim their entitlement,

• Explain the relocation and resettlement operations and options and enlist the agreement and support of affected people in participating in these operations,


• Explain the Implementation Schedule with a timetable for the delivery of entitlements,

• Explain the compensation process and set out compensation rates,

• Provide a detailed explanation of the grievance process, including the provision for EM valuation of property and other support in arbitration,

• Enlist the help of village leaders and other influential community officials in encouraging the participation of the APs in RP implementation, and

• Attempt to ensure that all vulnerable groups understand the process and that their needs are specifically taken into consideration and are met by assistance by the Project and by commune and village resettlement sub-committees.

A continued information and consultation programme will be conducted prior to agreement and payment of compensation and relocation. These programs will be continued for purposes of grievance procedures and for post-implementation development, especially for any resettlement arising in the development of tertiary irrigation systems over the life of the project.

10.3 The Grievance Process

(a) Grievance Rights All APs have the right of appeal against any aspect of decisions made not in accordance with the RP or with commitments given to them, or on which they disagree with the level or manner of compensation, including land, house or shop or stall relocation and compensation.

The main objectives of the grievance procedure are to provide a mechanism to ensure that the compensation and resettlement programme have been implemented accurately and fairly, alleviating any adverse effects on APs, to mediate conflict and to avoid lengthy litigation that is unfair to APs and can delay the project. It also provides people who have objections or concerns about their compensation of other assistance with an accessible and known procedure through which to raise their objections and have them resolved.

(b) Function The functions of the grievance process will be:

• To make all APs aware of the process of the RP and entitlement policy and of the timetable for implementation;

• To provide support for the APs being relocated on problems arising out of their adjustment to their new environments;

• To record grievances of the APs and categorize and prioritize those grievances that need to be resolved by the Grievance Committee;

• To record grievances of the APs and categorize and prioritize those grievances that need to be resolved by the Grievance Committee;

• To assist the APs in dealing with the decisions of the Grievance Committee (the Grievance Committee should be given the power to resolve all but the most serious of grievances);

• To report new developments to the aggrieved parties and to inform the EM regarding the hearing of their grievances. The decisions of the Grievance Committee will not be contested in any other forum, except in the courts of law.


(c) Steps Involved The grievance process must be explained to every AP at the time of compensation. The process should be as follows:

(i) As a first stage, APs will present their complaints and grievances to the Village or Commune Resettlement Sub-Committee and, if he or she wishes, to the NGO EM and/or to any NGO working in the Community. The EM or NGO will record the complaint in writing and accompany the AP to the Village or Commune Resettlement Sub-Committee. The Sub-Committee will be obliged to provide immediate written confirmation of receiving the complaint. At the same time, the complaint will be forwarded to the Provincial Resettlement Sub-Committee and the Provincial Grievance Committee.

• If the Village or Commune Resettlement Sub-Committee is unable to resolve the grievance, it will refer the grievance with any relevant information or documents to the Provincial Resettlement Sub-Committee through the PIU at PDWRAM, which will advise the Provincial Grievance Committee.

• At this or any subsequent stage the EM may be asked by the AP or the PIU to carry out a survey and valuation of structures or land which is the subject of dispute and to provide this or otherwise assist in further review or arbitration.

• The Provincial Grievance Committee meets with the aggrieved party and tries to resolve the situation. The Committee may ask for a review of the DMS by the external monitor. Within 21 days of the submission of the grievance the Committee must make a written decision and submit copies to Provincial MOWRAM, the monitoring agency, and the AP

• A judgment on the complaint will be made by the Provincial Grievance Committee with the participation of the village head, Commune Chairman and the NGO within 21 days of the written acknowledgement being issued. The Provincial Grievance Committee will provide the AP with its decision within 21 days of the complaint being lodged.

• If the AP is not satisfied with the solution of the Provincial Grievance Committee, the case may be submitted for consideration by the legal system, however, every effort shall be made to avoid this by resolving grievances within the framework of the Provincial administration and the Project, and with the assistance of the EM.

• If the decision is in favour of the aggrieved party, corrective actions must be prescribed in the letter and implemented within 14 days of the decision with interest added for any back payment of compensation.

• If no decision can be agreed to and the settlement of the grievance is essential to the successful implementation of the Project, MOWRAM may ask for arbitration to be undertaken by an independent agency, assisted by any survey or valuation by the EM and with the presence of the EM.

• In the event that this procedure does not achieve an agreed resolution of the grievance, MOWRAM may take the matter to court, with the plea that an order for eviction be granted, but must advise the ADB of its intention to take this step one month in advance, and must in any case make payment of the full compensation costs and allowances to which the AP is entitled.

• The grievance procedures do not take away the constitutional rights of any AP him or herself to lodge a complaint with the court at the municipal level. This may be followed by subsequent appeals to the court at the provincial level and national level, but the purpose of the grievance procedure is that citizens, particularly people in the municipal and


Commune/village level, will not need to take their complaints to the formal legal institutions and that most complaints will be settled at the lowest level.

• APs will be exempted from all administrative, transfer and legal fees.

• It is recognized that, in many cases, APs do not have writing skills and the possibility of being able to express grievances verbally has been considered, however, APs are encouraged to seek assistance from the EM, other local NGOs or other family members, village heads or community chiefs to have their grievances recorded in writing and to have access to the DMS or other documentation, and to any survey or valuation by the EM, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly.

(d) Makeup of the Grievance Committee Each province will have a Grievance Committee under the Provincial Resettlement Sub-Committee comprising four permanent members and one local member, according to where the aggrieved party is from. The Committee will be chaired by the Provincial Governor or his representative and have as members the Provincial Head of the Department of Water Resources, the Provincial Head of the Department of Finance, Justice Department, a member from the external monitoring agency and one or more local leaders (such as the Village Head or Commune Chairman) familiar with the area and the circumstances of the complaint, any local NGO and the EM contracted by MOWRAM.

11. Management and Organization

The planning and management of involuntary resettlement from water resources projects in Cambodia has derived from cooperation with the Asian Development Bank over a two year period. Overall policy and regularity supervision for resettlement is the responsibility of the Inter-Ministerial Resettlement Committee, which is a Committee of the Council of Ministers and is administrated by the Ministry of Economy and Finance. A Resettlement Unit was established in the Project Management Office at MOWRAM under the direction of H.E. Veng Sakhon, with a Head of Unit and three other staff members, one of whom has been trained as a database and data management specialist.

The PMO was also provided with computers and EXCEL and ACCESS database systems installed to permit the analysis of Detailed Measurement Cadastral and Socio-economic Surveys of households affected by these projects, to permit the preparation of Resettlement Plans and compensation. The ACCESS system is being further upgraded, and training provided to RU staff, to store and utilise sociological, environmental and agricultural survey data from the Project feasibility study and the DMS. MOWRAM now proposes to provide a separate office and additional computers for the RU.

A Provincial Steering Committee and Resettlement Sub-Committee and Working Group will be established for the project. District and Commune Resettlement Sub-Committees will be established in the project areas, and Grievance Committees set up at these various levels to help in resolving grievances or disputes over compensation and relocation of affected people. An external organization, which will be an NGO or other independent non-governmental agency with socioeconomic research and monitoring capability, will be appointed under contract to the MOWRAM on behalf of the Inter-Ministerial Resettlement Committee, as External Monitor to provide independent monitoring and evaluation of these resettlement programs.


NGOs have two specific roles in RP implementation. First, consultations have involved NGOs able to assist at the local level in informing APs and in acting for them in consultations and grievance resolution. Any NGO or local association may act in this role during RP implementation at the request of the AP. Secondly, terms of reference have been prepared for an independent External Monitor, who will be an NGO or independent research agency appointed by MOWRAM for the duration of the Project and funded by the IRC, to monitor and evaluate all subprojects, and to undertake the valuation of properties on behalf of APs for purpose of grievance settlement. Specific responsibilities are given to the External Monitor, both to conduct monitoring and evaluation over the six year period of the project based on baseline surveys, observation and focus group discussions to be conducted in each subproject nd to provide support to APs, especially in any resolution of grievances related to relocation and compensation. The terms of reference of the EM require the selected organization to provide an independent assessment of the measurement and valuation of property in cases of grievance or arbitration and to have staff qualified to undertake this task.

These institutional arrangements are set out in the diagram, Figure 1. They are standard arrangements for the management of involuntary resettlement, and are based on the ADB Guidelines for Involuntary Resettlement (which are closely similar to the World Bank Guidelines) and on current consultation on a draft National Policy and Guidelines for Involuntary Resettlement of RGC assisted under ADB RETA 5935.

One of the purposes of the North West Irrigation Sector Project is to further strengthen and adapt the institutional structure to provide a more effective basis for involuntary resettlement arising from irrigation and other water resource projects. A particular objective sought by MOWRAM and the ADB is that of a strengthened capacity in MOWRAM for resettlement planning, management, monitoring and evaluation in the context of environmentally and socially sound water resource development.

A second objective is that of the devolution and strengthening of resettlement management responsibilities, first as between the IRC and MOWRAM, and secondly as between MOWRAM and Provincial DWRAM, or more generally Provincial Government. To handle these matters the Provincial DWRAM is responsible both to MOWRAM and the Governor’s Office, or EXCOM, in setting up a Provincial Resettlement Sub-Committee, and for liaison with Districts, Communes and Villages in project areas to undertake the various operations for which it is responsible.

These include:

a. The conduct of an information programme, an identification survey in the Corridor of Impact of the project, to identify people affected by the project who will be entitled to compensation and other assistance;

b. carrying out a Detailed Measurement Survey of all APs, including a cadastral survey of their land and houses and other structures, and a socio-economic survey to determine any special needs and also to find out what loss of livelihoods will occur as a result of the project; and

c. the creation of Grievance Committees at Provincial, District and Commune levels to hear and resolve grievances over compensation, replacement of fixed assets and relocation;

d. supporting the IRC, MEF and MOWRAM Resettlement Unit in deciding and administering compensation, replacement of assets and relocation.


The identification of APs, detailed measurement survey (DMS) and socio-economic survey and compensation has been carried out by the Resettlement Unit in MOWRAM PMO, under the management of the Head of the RU, assisted by a local consultant. A Provincial Working Group combining staff of these organizations and of PDWRAM, PDAFF and PDLMUPC assisted the physical work of cadastral and socio-economic survey.


Figure 1. Project Management and Organisation

National Steering Committee

Provincial Steering Committee

Subproject O&M including support to FWUCs

Agricultural Support

PDAFF

MAFF

Project Components/ Activities

Project Implementation

Project Planning and Coordination

MOWRAM Resettlement Unit

Ministry of Interior

Office of Governor

Ex Com

Rural Development/ Anti-Poverty initiatives

Resettlement Land

Management Benefit Monitoring

and Evaluation Irrigation

Infrastructure

PD Finance

PD of

MLM/Cadastre

Resettlement Sub-

Committee

PDWRAMProject Implementation

Unit

PDRD

PD. Women’s & Vet. Affairs

MEF

MLMUPC

Interministerial Resettlement Committee

MOWRAM Under Secretary of State

PMO Ministry of Women’s

& Vet Affairs

MRD

Project Managem

ent Organization


12. Monitoring and Evaluation

The RU in MOWRAM Project Management Office (PMO) and IRC are responsible for internal monitoring and evaluation. The RU has been assisted to establish a database on the EXCEL and ACCESS system in the PMO under the ADB Capacity Building Project, primarily to store benchmark data from the cadastral survey and socio-economic survey but with the potential to store environmental and social impact data for use in project M&E and future project selection and design.

A single independent non-governmental agency will be appointed by MOWRAM to conduct external monitoring of all projects in the North West Irrigation Sector Project throughout its six year duration. The terms of reference provided as part of their contract, which include a baseline Knowledge, Attitude, Response and Experience survey, observational and focus group monitoring, are attached in Appendix J.2.3 of the PPTA Final Report.

The monitor will conduct a follow up evaluation survey eight months after implementation and during years 3 and 5. The external monitor has been instructed to make a specific study of the implementation and effectiveness of compensation and income restoration measures.

A feedback mechanism has been required in the RU and the external monitor’s reporting on RP implementation, especially for purposes of reporting to MOWRAM PMO, the IRC and to the Provincial Resettlement Sub-Committee on the implementation and effectiveness of compensation, relocation and livelihood restoration procedures. The external monitor will pay particular attention to gender mainstreaming and to the situation of vulnerable groups following compensation and other measures for livelihood restoration.

Resettlement Monitoring and Evaluation will constitute part of Project Implementation Monitoring and Evaluation under the supervision of MOWRAM PMO. 13. Resettlement in the Project Cycle The sequence and timing of RP preparation and implementation and of arrangements for resettlement monitoring are crucial. They have been a major cause of delays in engineering operations, with significant cost implications, in other water resource development projects in Cambodia. The Project strategy takes into account the crucial nature of resettlement planning in the project cycle, both in respect of ADB and IRC requirements that RPs are approved before project execution, and in the impact which resettlement may have on the concerned populations and on the economics and design of subprojects. The conclusion from the study and from other evidence of externally aided water resource development projects is therefore that resettlement should be treated as an integral part of the Project, and will need to be planned and carried out on a timely basis for every subproject over the Project period.

Equally important is the management information system permitting MOWRAM Resettlement Unit (RU) to be fully informed on engineering design decisions on a timely basis, and thus for close cooperation between these divisions of the Ministry and with consultants to carry out DMS and the identification of APs and the preparation of RPs within a time frame which permits review and approval from the IRC and RGC well in advance of the issue of contracts for construction. For this purpose the RU will take part in subproject planning and will attend monthly planning and coordination meetings of the MOWRAM Project team, including the consultant Project Manager, and Provincial PIU and be provided at an early stage with topographical mapping and design drawings.


A critical factor, exacerbated by the flat terrain in Northwest Cambodia, is the completion of topographical survey for purposes of canal, drains and reservoir design and alignment prior to the conduct of Detailed Measurement Survey (DMS) and the preparation of RPs. The availability of topographical surveys permitting the early definition of alignments and reservoir levels has been shown to be crucial in permitting decisions on the mitigation of impact on APs in timely and accurate detailed measurement surveys and the identification and registration of APs. This has been allowed for in the creation of a contract for a survey contractor to conduct topography and cadastral survey and mapping early in the design of any subproject in each provincial programme. Resettlement within irrigation systems, in relation to losses to secondary canals and drains, and to any severe and involuntary loss in tertiary systems, also has to be timed and coordinated closely with land adjustment and titling. This will be an iterative process, which may in some subprojects (e.g. Link Canal and Punley) take place over an extended period. This requires any resettlement to be conducted in phase with the mobilisation and management of topographical and cadastral survey and to be organised to an agreed schedule

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