SFG3018 THE GOVERNMENT OF KENYA MINISTRY OF WATER AND IRRIGATION WATER AND SANITATION DEVELOPMENT PROJECT (WSDP) Final RESETTLEMENT POLICY FRAMEWORK (RPF) February 13, 2017 Prepared by: Lazarus Kubasu Senior Social Specialist 1 TABLE OF CONTENTS TABLE OF CONTENTS ............................................................................................................................. 2 ACRONYMS AND ABBREVIATIONS..................................................................................................... 5 1. SUMMARY ......................................................................................................................................... 7 2. DESCRIPTION OF THE PROGRAM AND POTENTIAL INVESTMENTS CAUSING RESETTLEMENT ......................................................................................................................................12 PROGRAM CONTEXT ...............................................................................................................................12 WASSIP-1 .................................................................................................................................................13 Nairobi Water and Sewerage Institutional Restructuring Project (NWSIRP) .....................................13 Component I - Support to the AWSB - .................................................................................................14 Component III - Support to LVNWSB - ................................................................................................14 PROJECT DEVELOPMENT OBJECTIVES OF WSDP .......................................................................................14 Component 1: Rehabilitation and Expansion of Water Supply and Sanitation services in the coastal region ...................................................................................................................................................15 Component 2: Expansion of water supply and sanitation services in North and North-Eastern Counties. ..............................................................................................................................................15 Component 3: National Performance-based Financing. .....................................................................17 Component 4: Project management .....................................................................................................17 RESETTLEMENT IMPLICATIONS OF WSDP .................................................................................................18 3. METHODOLOGY & AN OVERVIEW OF IMPACTS ................................................................19 DETAILED AND IN-DEPTH LITERATURE REVIEW .........................................................................................19 INTERACTIVE DISCUSSIONS WITH IMPLEMENTING INSTITUTIONS ..............................................................19 DEFINITION OF PROJECT AFFECTED PERSONS .........................................................................................21 PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL .............................................................................21 POTENTIAL IMPLEMENTING AGENCIES (IA) ..............................................................................................22 CATEGORIES OF PAPS ...............................................................................................................................22 VULNERABLE GROUPS .......................................................................................................................23 APPROXIMATE NUMBER OF PAPS ..............................................................................................................24 POTENTIAL RELOCATION AREAS ................................................................................................................25 4. PRINCIPLES & OBJECTIVES GOVERNING RESETTLEMENT PREPARATION & IMPLEMENTATION .................................................................................................................................26 THE OBJECTIVES OF THE RESETTLEMENT POLICY FRAMEWORK (RPF): ....................................................26 RATIONALE FOR PREPARING THE RPF........................................................................................................27 FLEXIBILITY OF THE RPF...........................................................................................................................27 RPF PRINCIPLES UNDER WSDP .................................................................................................................27 INVOLUNTARY RESETTLEMENT .................................................................................................................28 ENTITLMENT UNDER RPF...................................................................................................................29 PHYSICAL DISPLACEMENT .............................................................................................................29 ECONOMIC DISPLACEMENT ........................................................................................................................29 5. LEGAL AND REGULATORY FRAMEWORK ............................................................................31 THE NATIONAL LAND POLICY ..........................................................................................................32 THE CONSTITUTION OF KENYA ........................................................................................................33 LAND TENURE SYSTEM IN KENYA.............................................................................................................34 Customary Land Tenure ......................................................................................................................34 WSDP Resettlement Policy Framework- RPF 2 Freehold Tenure...................................................................................................................................34 Leasehold Tenure .................................................................................................................................35 Public Tenure .......................................................................................................................................35 LAND ACT, 2012.....................................................................................................................................36 LAND ACQUISITION PROCESS -.........................................................................................................36 CHILDREN AND ORPHANS PROVISION OF LAND POSSESSION .......................................................41 THE VALUERS ACT...............................................................................................................................41 6. COMPARISON OF KENYA LAWS AND WORLD BANK REQUIREMENTS .......................42 COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO THE PROCESS ....................................................................................................................................................47 7. ELIGIBILITY CRITERIA, ENTITLEMENT, VALUATION AND COMPENSATION ..........48 CATEGORY OF PROJECT AFFECTED PERSONS ......................................................................................48 Vulnerable Assistance Measures..........................................................................................................51 Eligibility for Vulnerability Assistance ................................................................................................51 Form of Assistance to Vulnerable Groups ...........................................................................................52 ELIGIBILITY TYPE FOR COMPENSATION .....................................................................................................52 ENTITLEMENT MATRIX ...............................................................................................................................53 PROCESSES OF COMPENSATION AND ENTITLMENT .....................................................................................58 Formal Processes Involved With Compulsory Acquisition of Land .....................................................58 Establishment of Sub-County Resettlement and Compensation Committee (SCRCC) .........................59 METHOD TO DETERMINE CUT-OFF DATES ................................................................................................59 METHODS OF ASSETS VALUATION ..................................................................................................60 VALUATION PROCESS OF ASSETS ....................................................................................................60 METHODS FOR VALUING ASSETS IN KENYA ..............................................................................................62 OTHER METHODS .......................................................................................................................................62 CALCULATION OF COMPENSATION BY ASSETS ...........................................................................................63 8. PREPARING & APPROVING RESETTLEMENT AND COMPENSATION PLANS .............69 THE SCREENING PROCESS .........................................................................................................................69 PREPARATION OF A PROJECT SPECIFIC RAP ..............................................................................................70 APPROVAL OF RESETTLEMENT ACTION PLANS: ........................................................................................72 9. IMPLEMENTATION ARRANGEMENTS ....................................................................................74 INSTITUTIONAL ROLES FOR RAPS PREPARATION AND IMPLMENTATION UNDER WSDP ............................75 Ministry of Water and Irrigation (MOWI) ...........................................................................................75 Project Coordination Team (PCT) ......................................................................................................75 Individual Implementing agencies/ Counties/ WSPs ............................................................................76 National Land Commission (NLC) ......................................................................................................76 Sub-County Resettlement and Compensation Committees (SCRCC ....................................................76 Locational Resettlement and Compensation Committee (LRCC) ........................................................78 10. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT IMPLEMENTATION TO CIVIL WORKS ...........................................................................................................................................79 IMPLEMENTATION SCHEDULE ....................................................................................................................79 11. GRIEVANCES REDRESS MECHANISMS ...................................................................................81 GRIEVANCE REDRESS PROCESS ..................................................................................................................82 Procedures for grievance management ...............................................................................................83 Grievance Log......................................................................................................................................84 WSDP Resettlement Policy Framework- RPF 3 Monitoring Complaints ........................................................................................................................84 12. RPF IMPLEMENTATION BUDGET .............................................................................................85 13. MECHANISMS FOR CONSULTATIONS AND PARTICIPATION OF DISPLACED PERSONS IN PLANNING, IMPLEMENTATION AND MONITORING ...........................................88 Objectives of WSDP Consultations with PAPs ....................................................................................89 Consultation Process With PAPS ........................................................................................................89 CONSULTATIONS ON THE RPF ..................................................................................................................90 DATA COLLECTING PHASE .........................................................................................................................91 DISCLOSURE OF RPF/ WSDP ...............................................................................................................91 IMPLEMENTATION OPERATION ...................................................................................................................91 MONITORING AND EVALUATION PHASE ....................................................................................................91 14. ARRANGEMENTS FOR MONITORING AND EVALUATION ................................................92 INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE .....................................................................92 MONITORING OF RPF/RAP IMPLEMENTATION ..........................................................................................93 ANNEXES ....................................................................................................................................................95 ANNEX 1: GLOSSARY OF TERMS ......................................................................................................96 ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM ........................................................100 ANNEX 4: COMMUNITY ASSETS AND INFRASTRUCTURE ........................................................104 ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM ........................................................................106 ANNEX 6: DRAFT TORS FOR THE DEVELOPMENT OF RESETTLEMENT ACTION PLAN (RAP) ................................................................................................................................................................107 ANNEX 7: OUTLINE OF RESETTLEMENT ACTION PLAN ..........................................................................110 ANNEX 8: OP 4.12 - INVOLUNTARY RESETTLEMENT .................................................................114 WSDP Resettlement Policy Framework- RPF 4 ACRONYMS AND ABBREVIATIONS ADR Alternative Dispute Resolution APL Adaptable Program Loan AM Aide Memoire ARAPs Abbreviated Resettlement Action Plans AWSB Athi Water Services Board CPS Country Partnership Strategy CWSB Coast Water Service Board DPs Displaced Persons EIA Environmental Impact Assessment EMCA Environmental Management Coordination Act EMP Environmental Management Plan FY Financial Year GCRC Gross Current Replacement Cost GOK Government of Kenya IDA International Development Association KSHS Kenya Shillings KWSCRP Kenya Water Security and Climate Resilience Program LA Land Act 2012 LACT Land Acquisition Compensation Tribunal LEP Livelihoods Enhancement Programme LGI Local Government Institutions LVNWSB Lake Victoria North Water Services Board LRA Land Registration Act 2012 LRCC Locational Resettlement and Compensation Committees M&E Monitoring and Evaluation MDGs Millennium Development Goals MOF Ministry of Finance MOWI Ministry of Water and Irrigation MTR Mid-Term Review NEMA National Environment Management Authority NGO Non-Governmental Organisation NLC National Land Commission NIB National Irrigation Board NLP National Land Policy OP Operational Policy OVC Orphaned Vulnerable Children PAD Project Appraisal Document PAP Project Affected Persons PCDP Public Consultation Disclosure Procedures PCT Project Coordination Team PIM Project Implementation Manual PLO Project Liaison Officer PPT Project Preparation Team RAPs Resettlement Action Plans RPF Resettlement Policy Framework SCDC Sub-County Development Committee SCLO Sub-County Land Office SCRCC Sub-County Resettlement and Compensation Committees WSDP Resettlement Policy Framework- RPF 5 STI Science, Technology and Innovation USD United States Dollar VMGP Vulnerable and Marginalised Groups Plan VRB Valuation Registration Board WaSSIP Water and Sanitation Services Improvement Program WB World Bank WSBs Water Services Boards WSPs Water Services Providers WSDP Water and Sanitation Development Project WUA Water Users Association WRMA Water Resources Management Authority WSDP Resettlement Policy Framework- RPF 6 1. SUMMARY Country and Program Name: Kenya – Water and Sanitation Development Project (WSDP) Project Development Objectives (WSDP): The proposed WSDP will finance investments in water supply and sanitation facilities, focusing on the coastal region, along with strengthening sector institutions to deliver improved services. The project seeks to harness the momentum created under the CRWSDP and WaSSIP 1, and will deepen and expand their development impacts through the completion of the distribution infrastructure in the coastal region. It will also support provision of other priority infrastructure in other areas, and reinforce sector reforms. WSDP Project Components a) Component 1:-Rehabilitation and expansion of Water supply and sanitation services in the coastal region - Support to Coastal counties - Support to the Coast Bulk Water Services System b) Component 2:-Expansion of Water Supply and Sanitation services in North and North Eastern counties. c) Component 3:-National Performance Based Financing - Support for water and sanitation infrastructure investment - Technical assistance for performance based financing d) Component 4- Project Management Resettlement Potential of WSDP During the implementation of WSDP, specific investments in bulk water supply including infrastructure for storage use; transmission mains; primary water supply lines; sewerage infrastructure; flow regulation; ground water development; infrastructure for drought mitigation measures - water for productive and consumptive use will more likely lead to acquisition of a sizeable portion of land in project sites. This is likely to lead to land acquisition on a permanent or temporary basis for investments’ specific infrastructures. These investments will also likely affect livelihoods. Resettlement Policy Framework for WSDP This Resettlement Policy Framework (RPF) therefore provides overall guidelines and procedures on how the sub-projects will avoid, minimize, manage or mitigate all these project related displacement risks. Whereas the individual sub-project will carry some risks of adverse environmental and social impacts, this report addresses the risks that might arise if a WSDP sub- project will result into acquisition of land and hence disturbing the people’s economic, social and/or physical aspects of life. Implementation of these sub-projects is expected to have a widespread positive impact on the overall socio-economic status and livelihoods of the people in the country as a whole. This Resettlement Policy Framework (RPF) has been developed in line with (OP 4.12) to provide guidelines on how the projects will avoid, manage or mitigate potential risks and the process by which Resettlement Action Plans will be prepared and implemented during the project WSDP Resettlement Policy Framework- RPF 7 implementation period. The objectives of the Resettlement Policy Framework (RPF) are to: i. Establish the resettlement and compensation principles and implementation arrangements; ii. Describe the legal and institutional framework underlying Kenyan approaches for resettlement, compensation and rehabilitation; iii. Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements; iv. Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and v. Provide procedures for filing grievances and resolving disputes. Focus Impacts of the RPF This resettlement policy framework focuses on direct economic and social impacts that result from the WSDP projects:-  The involuntary taking of land or other resources resulting in (i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood.  The involuntary restriction of access to legally designated protected areas and gazetted forests resulting in adverse impacts on the livelihoods of the displaced persons. Approximate Number of the PAPs by the projects Though exact numbers cannot be stated at the moment, we estimate that he WSDP project activities could affect close to 2000 PAHs in the 6 counties. Legislative Framework of the RPF The RPF has been developed based on OP 4.12 and the Kenyan Laws. The Kenyan laws cited in this RPF include – the Constitution of Kenya, 2010; the Land Act, 2012; the Land Registration Act, 2012; the National Land Commission 2012; the Land Adjudication Act Chapter 95; the Valuers Act 532 and the Environment and Land Act 2012. . Institutional Implementation Arrangements for the RPF Implementation The proposed WSDP will be implemented using existing organizational structures in line with the constitution, and incorporating lessons learned and experience gained in the implementation of the KWSCRP and WaSSIP 1. Thus, counties will implement county-specific activities, and water services boards (or their legal successors), which are owned by the central government, will implement activities that involve more than one county. The Department for Water Supply and Sanitation in the Ministry of Water and Irrigation (MWI) is the executing agency for WSDP. It will be responsible for overall project management, and for monitoring. However, given that all participating entities are procuring, implementing, and monitoring their own project activities, the ministry’s project management team is expected to be very lean and integrated with existing structures. Counties and their WSPs will be the main implementing agencies, because according to the Water Act 2016, they are responsible for all county water supply and sanitation infrastructure and services. Water Services Boards will in future only be responsible to implement inter-county activities. Therefore, CWSB will be the implementing agency for the bulk water sub-component under component 1, because the bulk water system runs across four Counties. The WSPs will do WSDP Resettlement Policy Framework- RPF 8 the bulk of the procurement, because they will be in charge of all procurements for county wide water supply and sanitation infrastructure and for ant TA for the WSPs. Counties will procure contracts to support County functions which are not delegated to the WSPs, such as enforcing construction codes for septic tanks etc. Counties will therefore do only small contracts (mostly TA) up to a threshold in accordance with the findings of the procurement capacity assessment for counties. The MWI and WASREB will do any procurement needed to carry out their responsibilities under the project. The table below gives an overview about the implementing agencies: Component Implementing Agencies Component 1.1  Mombasa county and Mombasa Water Company (MoWASCO)  Kwale County and Kwale Water and Sewerage Company (KWAWASCO)  Taita Taveta county and Taita Taveta Water and Sewerage Company (TAVEVO)  Kilifi county and Kilifi Mariakani and Malindi Water and Sewerage Companies (KIMAWASCO; MAWASCO) Component 1.2 Coast Water Services Board Component 2  Wajir county and Wajir Water and Sewerage Company  Garissa county and Garissa Water and Sewerage Company Component 3  Various counties and their WSPs. The Counties and their WSPs will only be known when WASREB has selected the investments. The selection will be done for annual programs, so the participating Counties and WSPs will change during the project implementation period. including  WSBs can also apply to WASREB for financing inter county infrastructure. Therefore, it is also possible that a WSB might become an implementing agency under this component.  WaSREB will be an implementing activities related to the development and implementation of the program, but will not be engaged in any implementation of infrastructure. Component 4  MOWI The executing agencies will prepare project (through consultants) specific ESIAs and Resettlement Action Plans (RAPs) and all other safeguards instruments for identified investments during the feasibility study phase of the project following detailed screening. These reports will be submitted to the MoWI/PCT for review before submission to the World Bank. The implementation arrangements of the RPF build on the arrangements for resettlement and compensation activities required by Kenyan Legislation. The main executing and accountable agency at national level will be the MoWI via the Project Coordination Team (PCT). At sub- national level, the County authorities will play a critical role in supervising sub-project resettlement and compensation planning, implementation and monitoring. This will be mainly done through the Sub-County Resettlement Compensation Committees (SCRCC) and Locational Resettlement Compensation Committees (LRCC). Valuation and Compensation Framework Though the Kenyan law insists that all peoples affected by expropriation must receive fair and just compensation and that the calculation of fair and just compensation are to be made by independent valuers approved by Valuer Registration Board, this RPF provides for Replacement Costs as WSDP Resettlement Policy Framework- RPF 9 valuation basis for compensation. The methods, formulae and cost for replacement entitlement are provided in the entitlement matrix of the RPF. This will ensure that OP4.12 requirements are met for valuation for all WaSSIP sub-projects. Framework for Preparation and Implementation of RAP under WSDP The steps to be undertaken toward the preparation of each individual RAP under WSDP include a screening process, a socioeconomic profile, census and identification of Project Affected Parties (PAPs), land asset inventory of the area and valuation of assets, public consultation among other RAP preparation process. This will be followed by the development of a Resettlement Action Plan (RAP), RAP review and approval, implementation of the RAP and monitoring of RAP implementation and success. These steps will be the responsibility of the WaSSIP Phase-2 Project Coordination Team (PCT) and respective implementing agencies. Framework for Grievance Redress Mechanisms After preparation and approval of any individual RAP under WaSSIP, all affected individuals and households will have been informed of the process for expressing dissatisfaction and for seeking redress. The grievance procedure will be simple, and will be administered as far as possible at the Sector/ Cell level by the Resettlement and Compensation Committee to facilitate access by PAPs. A representative of the Committee will act as Project Liaison Officer (PLO) and be the main project contact for all PAPs. It is recommended in the RPF that the PLO works in collaboration with an independent agency/NGO or person to ensure objectivity in the grievance process. All grievances concerning dissatisfaction with compensation amounts, or seizure of assets without compensation shall be addressed to the Project Liaison Officer and resolved in coordination with the LRCC, SCRCC, County Administration, PCT and the courts as stipulated in the RPF. Disclosure of RPF/ WSDP Public disclosure of the WSDP RAPs will be made to PAPs and other stakeholders for review and comments on entitlement measures and other issues in the implementation of the RAP. The purpose of the disclosure will be to receive comments and suggestions from PAPs and incorporate appropriate suggestions. The WSDP RAPs will be disclosed in a form, manner and language comprehensible to PAPs and at a place accessible to the displaced population and other stakeholders for review and comments on entitlement measures. Except for the Entitlement Matrix other sections of the RAP will be disclosed. MOWI will disclose and post any WSDP RAP in its websites and receive comments. Comments and critiques made on any WSDP RAP by PAPs and other stakeholders will be taken by MOWI for consideration. MOWI will also conduct a half day workshop in the project area counties for the PAPs, stakeholders, representatives of civil societies, local leaders with the objective of disclosing project specific RAP. The Public disclosure of any RAP will be made in Swahili and English languages. This could be done through the Chief office; depositing / posting it in a range of publicly accessible places such as, Ward Administrator or Sub-County offices. This RAP also will be disclosed for input from civil societies, academics and other professionals as well. Monitoring and Evaluation Framework The arrangements for monitoring the resettlement and compensation activities will fit the overall monitoring program of the entire WaSSIP Phase2 program, which will fall under the overall responsibility of the PCT. At the sub-project level, the County authorities will have responsibility WSDP Resettlement Policy Framework- RPF 10 for ensuring monitoring is undertaken with the Resettlement and Compensation Committee coordinating efforts. Periodic evaluations will be made in order to determine whether: the PAPs have been paid in full and before implementation of the sub-project activities; economic rehabilitation measures have been implemented; and the PAPs have the same or higher standard of living than before. A number of objectively verifiable indicators shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively and qualitatively measuring the physical and socio-economic status of the PAPs, to determine and guide improvement in their social wellbeing. In addition, an independent audit will take place at the completion of the RAP implementation. Estimated Budget for the RPF implementation The estimated cost for the implementation of this RPF will be KES 61,800,000.00 minus the cost of implementing individual RAPs since those cost have not been determined. The RPF budget costs will cover stakeholders trainings and consultation forums on RPF; Monitoring and evaluation exercise on implementation of the individual RAPs; evaluation of livelihood empowerment programs and WSDP RAP trainings. Capacity Building and Training for RPF Effective implementation of the Resettlement Policy Framework will require that adequate capacity enhancement for WSDP implementing institutions and other stakeholders. WSDP Resettlement Policy Framework- RPF 11 2. DESCRIPTION OF THE PROGRAM AND POTENTIAL INVESTMENTS CAUSING RESETTLEMENT PROGRAM CONTEXT With an average renewable supply of freshwater resources of less than 650 cubic meters per capita per year, Kenya is among the water-scarce countries in the world. Rainfall is highly variable both geographically and temporally. Over 80 percent of Kenya’s territory is arid or semi-arid lands. With such scarce water resources, efficient allocation, utilization, and management of the available resources, including drinking water supplies, is critical. However, water resource management in Kenya has been characterized by many years of neglect in both management of resources and investment in infrastructure. Kenya made substantial investments in production and treatment capacities during the 1980s and 1990s. However, due to inadequate management and maintenance, coupled with a lack of commensurate expansion in distribution networks, these investments did not result in efficient and sustainable service delivery. Consequently, by the start of the 2000s the infrastructure had significantly deteriorated. Management of water and sanitation services was not transparent. Responsibility for delivery of services was split among various agencies and organizations, often with overlapping mandates. This led to a lack of coordination and weak accountability. The inability of the utilities to deliver adequate services has disproportionately hurt poor residents, especially those living in informal settlements1. Poor people have increasingly come to rely on kiosks and private vendors for their water supply, paying much higher prices per cubic meter and spending much more time fetching water than those with access to piped supplies. In 1999, the government adopted its new National Water Policy, setting ambitious targets for access to improved water and sanitation services. The Millennium Development Goals for Kenya were that 70 percent of the population should have had access to safe water by 2015, while 93 percent should have had access to improved sanitation. The government realized that the targets could not be achieved without comprehensive reform of sector institutions and large new investments, and in response prepared the Water Act, which parliament enacted in 2002. The Act is one of the most far reaching and comprehensive reforms of the water sector undertaken in any country. The Act called for a completely new institutional setup, aimed at harmonizing and streamlining the management of water resources and water supply and sewerage services. A central tenet of the new service delivery framework is the separation of functions between each aspect of service delivery: policy making, regulation, asset ownership or control, and service delivery. This change was expected to reduce conflicts of interest and increase 1 In this paper, the terms informal settlements and slums are used interchangeably, and refers to areas refer to areas that lack at least two of the following: secure tenure, adequate infrastructure, planning at the settlement level, and quality housing. About 30 percent of Nairobi’s population lives in slum WSDP Resettlement Policy Framework- RPF 12 transparency and accountability. Although more needs to be done, the new sector arrangements have led to much improved management of water and sanitation services. Significant progress has been made in increasing transparency and accountability. Service delivery institutions are subject to periodic technical and financial audits, the results of which are published on their websites. Customer and employee satisfaction surveys are periodically carried out, and their results made available to the public. These show increasing levels of satisfaction with services. The Government of Kenya’s (GOK) National Water Policy (1999) envisages 100% access to safe water for the country’s population by 2010. The Millennium Development Goals (MDG) envisaged access to safe water and improved sanitation of 70% and 93% respectively by 2015. Current coverage figures are 49% and 86% respectively. During the 1980’s and 1990’s Kenya made large investments in water supply and sewerage (WSS) production and treatment capacities, but these did not result in efficient and sustainable service distribution. WSS operations were not transparent, unsustainable and ill-suited to respond to consumer needs. There was widespread collapse of infrastructure due to under-investment in operations and maintenance. To address the deteriorated situation and the previously fragmented water supply and sanitation (WSS) delivery responsibilities, GOK commenced a comprehensive sector reform in early 2003. The main sector reform vehicle is the Water Act (2002), aimed at harmonizing the management of water resources and WSS. A central tenet of the new service delivery framework is the separation of functions between each aspect of service delivery - policy making, regulation, asset ownership / control and service delivery operations. The consequent formalization of relationships between these functions is expected to reduce conflicts of interest and increase transparency and accountability. Consistent with this tenet, the GOK (i) is reorganized the Ministry of Water and Irrigation (MoWI) into a body focused on policy issues, (ii) established a Water Services Regulatory Board (WSRB), and (iii) established Eight Water Services Boards (WSBs). Each WSB is mandated to appoint Water Services Providers (WSPs), which are legal entities contracted by WSBs to be responsible for service delivery operations. WASSIP-1 Nairobi Water and Sewerage Institutional Restructuring Project (NWSIRP) The Bank supported the Nairobi Water and Sewerage Institutional Restructuring Project (NWSIRP) that focused on the early phase of reform in Nairobi i.e., institutional restructuring - setting up new autonomous institutions, operationalizing and strengthening them. The project was successfully implemented and has contributed to increase in revenue collection leading to operational and maintenance (O&M) cost being covered. AWSB and NWSC continue to strengthen their operational, commercial and financial functions. Transparency and governance has improved as a result of a more traceable operating framework, the organization of the sector under legally accountable sector institutions (parastatals and companies), and the implementation of governance training, broad stakeholder representation on institutional oversight mechanisms and individual performance contracts and Codes of Ethics. WSDP Resettlement Policy Framework- RPF 13 Following the successful implementation of the Nairobi Water and Sewerage Institutional Restructuring Project NWSIRP, the Government of Kenya engaged the Bank in discussions towards financing infrastructure development for Athi Water Services Board, (AWSB), Coast Water Services Board (CWSB) and Lake Victoria North Water Service Board (LVNWSB) under the Water and Sanitation Service Improvement project (WaSSIP). The project was financed for 150Million USD (AWSB – 65.99Million CWSB 43.33Million and LVNWSB 40.48). Later WaSSIP Additional Financing at USD300 million was prepared and is currently under implementation by the three WSBs. WASSIP-1 comprised of three project components namely: Component I - Support to the AWSB - This component supported the rehabilitation and extension of water supply systems, including the development of additional water sources for Nairobi and other drought mitigation measures, and improvements in wastewater collection and treatment facilities in AWSB’s area. Technical assistance will also be provided to the AWSB and its water services providers, the WSRB, and the WAB. Component II - Support to the CWSB – This component supported CWSB through supporting the rehabilitation and extension of water supply schemes including drought mitigation measures and institutional strengthening of the CWSB and its various water service providers. Component III - Support to LVNWSB - This component supported LVNWSB towards rehabilitation and extension of water supply schemes, including drought mitigation measures and institutional strengthening of the LVNWSB and its various water service providers PROJECT DEVELOPMENT OBJECTIVES OF WSDP The proposed WSDP or Water Sector Development Program (WSDP) will finance investments in water supply and sanitation facilities, focusing on the coastal region, along with strengthening sector institutions to deliver improved services. The project seeks to harness the momentum created under the CRWSDP and WaSSIP 1, and will deepen and expand their development impacts through the completion of the distribution infrastructure in the coastal region. It will also support provision of other priority infrastructure in other areas, and reinforce sector reforms. The proposed infrastructure investments will be coupled with institutional interventions to strengthen regulatory capacity, to improve utility operations, and to increase capacity of counties to fulfil their mandates to deliver water and sanitation services. The proposed project has four inter-related components: (1) expansion of water supply and sanitation services in the coastal region, (2) expansion of water supply and sanitation services in other priority areas, including marginalized northeast counties of Kenya, (3) water supply and sanitation sector reforms, and (4) project management. WSDP Resettlement Policy Framework- RPF 14 Component 1: Rehabilitation and Expansion of Water Supply and Sanitation services in the coastal region Sub-component 1.1: Support to the coastal counties This sub-component will finance the construction and rehabilitation of water distribution systems in the coastal region to ensure that they can deliver the additional water supply that Mwache dam will provide. In addition, WSDP will finance investments in sanitation infrastructure so that the additional water supplied will not increase the contamination of coastal waters, the cleanliness of which is vital for the tourist industry. These will include rehabilitation and construction of wastewater treatment plants, sewer systems, and septic sludge treatment facilities. The wastewater in the coastal area is often discharged through inadequate storm water systems, resulting in septic water and sludge spilling into the environment, creating a health hazard for the residents and a threat to the coastal environment. Therefore, this component will also finance limited investments in storm water systems. In addition, this component will finance institutional strengthening and capacity building activities for the WSPs and county governments. Many counties need to align their water and sanitation regulations in line with their new responsibilities and to strengthen capacity for enforcement of the regulations. Counties also need to embark on integrated urban water management (IUWM) activities to improve the sustainability and climate resilience of services. Sub-component 1.2: Support to the Coast Bulk Water Services System This sub-component will finance the rehabilitation and extension of parts of the bulk water system. It will finance the continuation of the service contract or a new management contract for the bulk water operation. The Mombasa Water Company (MOWASCO) is currently undertaking a feasibility study and field work to explore ways of increasing the yield of the Tiwi wellfield which serves both Mombasa and Kwale County. This would be an additional small water source which could bridge the production gap before Mwache dam becomes operational and would increase the climate resilience of the system. Should the feasibility study recommend some investment in Tiwi, this component could finance further investigations, designs, and investments. Component 2: Expansion of water supply and sanitation services in North and North-Eastern Counties. This component will finance investments for water supply and sanitation infrastructure in selected areas in the North and North Eastern region, in the counties of Wajir and Garissa. The Government of Kenya has requested the Bank to support infrastructural development particularly in energy, transport and water supply and sanitation in these counties that are classified as marginalized to open them up for development. The water and sanitation investment plan will be further informed by the groundwater management plan for the Merti aquifer, which is underway under WaSSIP 1. This aquifer covers a large part of the region, extending up to the Kenya-Somalia border, including Dadaab, where a large refugee camp with about 600,000 people is located. In Wajir County, activities will only occur in Wajir town. Approximately 60,000 live in Wajir town. A report in 2009 noted that, “About 5% of the population depends on septic WSDP Resettlement Policy Framework- RPF 15 tank, 75% on open defection (Cat style) and about 20% who mainly reside in the Central Business District (Township) depend on bucket latrine.” Sanitation: Besides the areas in Wajir Town which will be served by the sewer system to be financed under the project, the remainder of the population in Wajir town relies on on- site sanitation. The project will assist the County in establishing a proper system for septic sludge collection, treatment and discharge, including the construction and operation of a septic sludge handling facility. The project will also support the implementation of the successful national household sanitation model in the project area, where no cash or hardware subsidies are provided to build household (HH) toilets. The project will also finance institutional toilets in health posts, schools, orphanages and markets. To support sanitation activities, beyond the sewerage component, the project will provide some funds to each County Health Office to manage and oversee sanitation activities. The sanitation grant to the County Health Office may be used to hire firms, non-profits, or consultants for the following activities: i. Develop County Sanitation Strategic & Investment Plans ii. Create a sanitation behavior change campaign (or adaptation of existing campaigns) for the Dabaab Host community and Wajir town iii. Conduct Community Led Total Sanitation (CLTS) training for county Public Health Officers (PHOs) and Community Health volunteers (CHV’s) working with the Dabaab host community and Wajir iv. Create opportunities for the private sector through workshops linking MFIs, fundis (handy men), manufacturers & county government v. Facilitate linking needy households with local financing groups such as women’s savings and credit, microcredit organizations, etc. vi. Establish 3rd party Open Defecation Free (ODF) certification teams. vii. Conduct training and follow-on mentoring to roll-out the national sanitation Monitoring and Evaluation Tool viii. Create a knowledge strategy and conduct knowledge exchanges for public health officers and CHV’s working with the Dabaab host community and in Wajir town to learn from other successful sanitation programs in Kenya. Some funds will also be used directly by each county to recruit consultants and purchase goods to create “sanitation hubs” to: i. Formulate county legislation based on the Environmental Sanitation & Hygiene Prototype Bill ii. Procure transportation, computers and phones for PHOs in Dabaab and Fafi sub- county and Wajir town and for the county to support the Project iii. Support Monitoring, Evaluation, and Supervision of Project activities Funds for institutional sanitation will be monitored by local government authorities responsible for other civil works and may be used for the identification of partners and creation of institutional toilet maintenance plans. WSDP Resettlement Policy Framework- RPF 16 WSDP will finance priority investments to expand supply of drinking water for human and livestock consumption as well as sanitation in specific areas in these counties. Priority will be given to finance water and sanitation investments for the underserved communities around the Dadaab refugee camp in Garissa County and Wajir town in Wajir County. Wajir town is characterized by a fast growing population, huge water scarcity and a high water table that requires specially-designed sanitation facilities to avoid pollution of the sources for drinking water. Under WaSSIP 1, the design for the water supply system for Bute town and surrounding towns, including Wajir town in Wajir County is currently been reviewed and revised. This will be the first investment to be considered for financing under this component. Component 3: National Performance-based Financing. This subcomponent will provide performance-based financial support, which can be availed by the WSPs and the counties, on achievement of specific results. The performance-based financial support will target improvements in operational and financial performance of the WSPs, based on an agreed set of performance measures (for example, expansion in water and sanitation services, improvements in billing and collection, recovery of operations and maintenance costs, reduction of non-revenue water, proportion of debt repaid, etc.). In addition, the performance-based financing will target design and implementation of programs and policies by the counties (for example promoting IUWM programs, including rainwater catchment, wastewater recycling, demand-side management, and the like). All WSPs and counties will be eligible to participate in the performance-based financing. The criteria for accessing these funds along with the verification protocol, will be defined during project preparation. The possibility of leveraging funds from other sources, including the National Treasury, other development partners, and commercial financing will also be explored. This subcomponent will comprise the following subcomponents: 3.1: Support for water and sanitation infrastructure investments. This subcomponent will finance construction of new facilities or rehabilitation of existing facilities for the WSPs. In addition, counties can use the performance-based financing for investments in infrastructure related to IUWM and other county projects. 3.2: Technical assistance for performance-based financing. This subcomponent will finance technical assistance and training on issues such as reduction of non-revenue water, strengthening of billing and collection, strengthening of procurement and financial management, identification of high-return IUWM investments, etc. Component 4: Project management This component will finance the management activities associated with project implementation, including establishing and implementing a comprehensive monitoring and evaluation (M&E) system and training of the implementing entities on applying the World Bank’s safeguard policies. This component will also provide funds for studies identified and agreed during implementation. WSDP Resettlement Policy Framework- RPF 17 RESETTLEMENT IMPLICATIONS OF WSDP During the implementation of WSDP, specific investments in bulk water supply including infrastructure for storage use, urban water supply systems; rural water supply; treatment plants; ground water development; water for consumptive infrastructure will more likely lead to acquisition of a sizeable portion of land in project sites. This is likely to lead to land acquisition on a permanent or temporary basis for investments’ specific infrastructures. These investments will also likely affect livelihoods. The impact will vary in degree depending on the nature of investment under the WSDP. For instance, the building of reservoirs, sanitation infrastructures and other structures related infrastructures could result in the partial or total loss of land, assets, and livelihoods of the communities in the project area and may require relocation and displacement. On the other hand, some investments such as boreholes, water supply system and transmission lines even though small could cause land take and resettlement and impact livelihood, and may not necessarily cause physical displacement of a great number of people. At this point, the exact impact of the future investments under the WSDP is not yet known and it will only be known when investments under WSDP are identified. The investment specific RAPs, though, need to include detailed baseline census and socio-economic survey information; specific compensation rates and standards; policy entitlements related to any additional impacts identified through the census or survey; description of resettlement sites and programs for improvement or restoration of livelihoods and standard of the living; implementation schedule or resettlement activities; and detail cost estimate. In addition, the RAP will include a detailed description of the project and its impacts. WSDP Resettlement Policy Framework- RPF 18 3. METHODOLOGY & AN OVERVIEW OF IMPACTS This Resettlement Policy Framework (RPF) was prepared using the following approaches and methodologies; DETAILED AND IN-DEPTH LITERATURE REVIEW Existing baseline information and literature was reviewed in preparing this RPF. Documents reviewed include:  WSDP Draft Project Appraisal Document (PAD)  WaSSIP – I Project Implementation Manual  Constitution of Kenya,  Government of Kenya Valuation Act  World Bank Involuntary Resettlement Operational Policy 4.12.  Land Act 2012  Land Registration Act 2012  Land Adjudication Act  WaSSIP existing pre-feasibility and feasibility studies INTERACTIVE DISCUSSIONS WITH IMPLEMENTING INSTITUTIONS The proposed WSDP will be implemented using existing organizational structures in line with the constitution, and incorporating lessons learned and experience gained in the implementation of the KWSCRP and WaSSIP. Thus, counties will implement county- specific activities, and water services boards (or their legal successors), which are owned by the central government, will implement activities that involve more than one county. The Department for Water Supply and Sanitation in the Ministry of Water and Irrigation (MOWI) is the executing agency for WSDP. It will be responsible for overall project management, and for monitoring and. However, given that all participating entities are procuring, implementing, and monitoring their own project activities, the ministry’s project management team is expected to be very lean and integrated with existing structures. Counties and their WSPs will be the main implementing agencies, because according to the Water Act 2016, they are responsible for all county water supply and sanitation infrastructure and services. Water Services Boards will in future only be responsible to implement inter-county activities. Therefore, CWSB will be the implementing agency for the bulk water sub-component under component 1, because the bulk water system runs across four Counties. The WSPs will do the bulk of the procurement, because they will be in charge of all procurements for county wide water supply and sanitation infrastructure and for ant TA for the WSPs. WSDP Resettlement Policy Framework- RPF 19 Counties will procure contracts to support County functions which are not delegated to the WSPs, such as enforcing construction codes for septic tanks etc. Counties will therefore do only small contracts (mostly TA) up to a threshold in accordance with the findings of the procurement capacity assessment for counties. The MWI and WASREB will do any procurement needed to carry out their responsibilities under the project. The table below gives an overview about the implementing agencies: Component Implementing Agencies Component 1.1  Mombasa county and MoWASCO  Kwale County and Kwale Water and Sewerage Company (KWAWASCO)  Taita Taveta county and Taita Taveta Water and Sewerage Company (TAVEVO)  Kilifi county and Kilifi Mariakani and Malindi water and sewerage companies (KIMAWASCO; MAWASCO) Component 1.2 Coast Water Services Board Component 2  Wajir county and Wajir Water and Sewerage Company  Garissa county and Garissa Water and Sewerage Company Component 3  Various counties and their WSPs. The Counties and their WSPs will only be known when WASREB has selected the investments. The selection will be done for annual programs, so the participating Counties and WSPs will change during the project implementation period. including  WSBs can also apply to WASREB for financing inter county infrastructure. Therefore, it is also possible that a WSB might become an implementing agency under this component.  WaSREB will be an implementing activities related to the development and implementation of the program, but will not be engaged in any implementation of infrastructure. Component 4  MWI The implementing agencies will prepare project (through consultants) specific ESIAs and Resettlement Action Plans (RAPs) and all other safeguards instruments for identified investments during the feasibility study phase of the project following detailed screening. These reports will be submitted to the World Bank’s implementation support and review missions. As part of stakeholder consultations and engagement process, institutional specific consultations between World Bank, MOWI and discussions have been held with relevant key institutional stakeholders related to this project, in order to integrate their views, opinions and comments regarding this RPF. To this end, individual consultations were held with:  Ministry of Water and Irrigation (MOWI),  Coast Water Services Board (CWSB)  Kwale County  Wajir County  Garissa County  Kwale County  Kilifi County WSDP Resettlement Policy Framework- RPF 20  Taita Taveta County  Mombasa Water Sewerage Company (MOWASCO)  Kwale County and Kwale Water and Sewerage Company (KWAWASCO)  Taita Taveta county and Taita Taveta Water and Sewerage Company (TAVEVO)  Wajir county and Wajir Water and Sewerage Company  Garissa county and Garissa Water and Sewerage Company County stakeholder consultations were conducted between January 5th and January 12th 2017. Minutes for the consultation are attached in Annex 9. DEFINITION OF PROJECT AFFECTED PERSONS According to this RPF, Project Affected Persons (PAPs) are considered to be those who stand to lose as a consequence of the project, all or part of their physical and non-physical assets, including homes, communities, productive lands, resources such as forests, fishing areas or important cultural sites, commercial properties, tenancy, income-earning opportunities as well as social and cultural networks and activities. Such impacts may be permanent or temporary. This might occur through land expropriation, using eminent domain or other regulatory measures, and could include restricted or reduced access to legally designated fishing areas and protected areas such as gazetted forests as well as grazing land. The RPF under WSDP applies to all economically and/or physically displaced persons regardless of the total number of affected or the severity of impact and whether or not PAPs have legal title to the land. Particular attention will be paid to the needs of vulnerable groups among those economically and/or physically displaced especially those below the poverty line, the landless, the elderly, women and children, including orphans, marginalized groups, ethnic minorities and other historically disadvantaged groups or other economically and/or physically displaced persons who may not be protected through Kenya’s land compensation legislation. PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL The main investments/projects2 envisaged to have displacement potential are listed below. However, this list is not exhaustive and other types of investments identified under the WSDP during the course of its implementation. The following works will include both construction and /or rehabilitation of:  Water supply networks  Bulk Water supply  Sewerage system  Storage Infrastructures  Water Treatment Plant  Storm Water Infrastructures 2 Investment and projects are used interchangeably in this document. They refer to investment which will be funded under KWSCRP WSDP Resettlement Policy Framework- RPF 21  Well fields  Boreholes  Water supply networks, including transmission lines  Access roads  Watershed catchment protection POTENTIAL IMPLEMENTING 3 AGENCIES (IA) The list is not exhaustive and could include other ministries and agencies  Ministry Water and Irrigation (MOWI)  Coastal Water Services Board (CWSB)  Mombasa Water Supply and Sewerage Company (MOWASCO)  Taita Taveta Water Supply and Sewerage Company (TAVEWO)  Kwale Water and Sewerage Company (KWAWASCO)  Kilifi – Mariakani Water and Sewerage Company (KIMAWASCO)  Water Service Regulatory Board (WASREB) CATEGORIES OF PAPS The likely displaced persons (economically or physically) under various WSDP investments are categorized into three groups namely:-  Project affected persons (PAPs) are individuals whose assets may be lost and/or affected, including land, property, other assets, livelihoods, and/or access to natural and/or economic resources as a result of activities related to a given investment under WSDP.  Project affected households are groups of PAPs in one household and where one or more of its members are directly affected by a given investment/project under WSDP. These include members like the head of household, male, and female members, dependent relatives and members, tenants, etc.  Vulnerable groups who could be a member of affected households. The investment/ project will separately identify the vulnerable members, such as those who are too old or too ill; children; those stricken with HIV/AIDS; women; unemployed youth, and orphans; child-headed households; single parents with dependants; elderly headed households; households headed by women that depend on sons, brothers, and others needing support and are especially vulnerable. The vulnerable groups are eligible for additional assistance under this RPF, as it is explained later in Entitlement Matrix, Table 4. The categories given above may not cover all types of affected persons. In addition, the categories are not mutually exclusive. The WSDP investment activities will have well 3 Executing organizations/agencies, which are also referred in this document as implementing agencies, refer to institutions which will prepare and implement projects under KWSCRP. WSDP Resettlement Policy Framework- RPF 22 prepared and comprehensive RAPs that would be specific and comprehensive enough, listing all affected groups and people and the impacts Affected local community – A community is affected if project activities affect their socio-economic and/or social-cultural relationships or cohesion. For example project activities could lead into loss of welfare or cultural erosion etc. In addition, the investments under WSDP can cause breakdown of communities and social networks due to physical separation as a result of the investment specific infrastructures if not mitigated. VULNERABLE GROUPS Vulnerable groups4 are special and need special attention. There will be several categories of vulnerability identified in WSDP. Each category of vulnerability indicate some type of circumstance by which the PAP would need special consideration and additional assistance. Details will be provided in the specific census survey that will be used to classify certain PAPs as vulnerable and to sub-categorize them based on the reasons for vulnerability. The following are definitions of possible categories vulnerable heads of household:  Child-Headed Household: these are households headed by young children, usually 18 years of age or younger, with no social support;  Single Parent (Female) with Dependent Children: these are households headed by women, where there is no husband or partner present (e.g. widows, unmarried women, others) and no other form of support present;  Single Parent (Male) with Dependent Children: these are households headed by men, where there is no wife or partner present (e.g. widowers, unmarried men, others) and no other form of support present;  Elderly-Headed Households with No Support System: these are households headed by an elderly male or female, aged 55 or above, or in some cases, less than 55 but with a lack of any social support services;  Disabled-Headed Households: these are households where the head (male or female) have a physical disability;  Extreme Poor: these are households where the PAPs do not have a sustainable living and/or access to income generation options, and do not have assets or income sources. Those whose income is at or below Kshs.100 per day or Ksh 5,000 per month are included in this category.  HIV/AID/ Chronically-ill: Those who HIV positive or chronically ill will also be classified as vulnerable. Under WSDP, vulnerable PAPs will be eligible for additional support which will help them to manage the resettlement process. Support to PAPs who are identified as 4 Vulnerability implies ‘weakness’ or ‘defencelessness’, and typically used to describe groups that are weak and liable to serious hardship. These are groups that without substantial support may be in severe and chronic poverty, unable to take advantage of profitable opportunities if they emerge, while with limited defenses in case serious events or shocks occur. Examples are disabled people, orphans, HIV infected, elderly, ethnic minorities, households headed by widows or deserted women, or headed by children . WSDP Resettlement Policy Framework- RPF 23 vulnerable under WSDP will be provided on an individual basis as needed. Additional monetary compensation for vulnerable PAPs will be considered in project specific RAP. Concerns raised about the potential impacts to “street children” who may be using the existing drainage structures as shelter or for other purposes will be addressed through identification of alternate shelters. If impacts to this population are identified, the appropriate NGOs and/or authorities will be notified immediately. The use of gender-friendly technologies during construction will be important to consider and this will be done in close consultation with affected communities. Both men and women will be more concerned about the safety of their children during the construction phase and the risk of accidents that may arise from the depth of the trenches. Therefore construction methods used will have to factor in these views and ensure that the risks are minimized. Project Implementation Units (PIUs) in counties, NGOs, County social work staff, and/or other voluntary or charitable services locally available will be used to provide support to vulnerable PAPs. The exact assistance provided to each PAP will vary on a case-by-case basis to ensure that vulnerable people can access their benefits and use them for the intended purpose and to the intended effect. Counties will also be responsible for providing necessary support to PAPs identified as vulnerable, and carrying out other general additional social impact mitigation measures through provision of social support on a case-by-case basis for all PAPs identified. Monitoring the treatment of vulnerable people during the compensation and resettlement process will be done as a special, focused activity and preferably sub-contracted through a firm or more local NGOs or CBOs. As with all aspects of the M&E system, care will be taken to keep it as simple as possible. This monitoring is to ensure that requirements are met, and that any shortfalls are identified and covered. APPROXIMATE NUMBER OF PAPS Determination of the number of all the PAPs is not possible at this time due to the nature of WSDP, which is an investment pipeline approach and as a result the investments which will be funded under the WSDP have not been fully identified in terms of location, nature, scope and magnitude. At this stage, project descriptions exist for general sub project investments to allow exact estimation of number of the PAPs. However, our conservative estimate puts the possible number resulting from WSDP activities to 2000 households. The purpose of this RPF is therefore to establish the mechanisms, procedures and principles for compensation and livelihood restoration for all potentially affected people under WSDP and guide the preparation of the RAPs for individual investments under WSDP. Each sub-project investment which might require physical and/or economic resettlement, the number of PAPs will be established through the census which will be undertaken as part of the preparation of the investment specific RAP. WSDP Resettlement Policy Framework- RPF 24 POTENTIAL RELOCATION AREAS During the development of WSDP investments, location for resettlement if necessary will be identified during the development of the RAPs by the RAP consultants, the Sub- County Resettlement and Compensation Committee (SCRCC) and project affected persons. WSDP Resettlement Policy Framework- RPF 25 4. PRINCIPLES & OBJECTIVES GOVERNING RESETTLEMENT PREPARATION & IMPLEMENTATION This RPF applies to all components of the various sub project investments under the WSDP. It applies to all eligible persons regardless of the severity of impact and whether or not they have legal title to land. THE OBJECTIVES OF THE RESETTLEMENT POLICY FRAMEWORK (RPF): The objectives of the Resettlement Policy Framework (RPF) are to:  Establish the WSDP resettlement and compensation principles and implementation arrangements;  Describe the legal and institutional framework underlying Kenyan approaches for resettlement, compensation and rehabilitation;  Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements;  Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and  Provide procedures for filing grievances and resolving disputes. The RPF will apply to all sub project investments which will be financed under the WSDP. The procedures will be carried out throughout preparation and implementation of the projects, and impacts of any potential resettlement will be included in monitoring and evaluation (M&E). When a sub project RAP is required, it will be prepared in accordance with guidance provided in this RPF. The RPF follows the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP4.12), as described in Annex 8 as well as Kenyan laws related to land acquisition. The RPF ensures that any possible adverse impacts of sub project activities are addressed through appropriate mitigation measures, in particular, against potential impoverishment risks. These risks can be minimized by:  Avoiding displacement of people without a well-designed compensation and relocation process;  Minimizing the number of PAPs, to the extent possible;  Holding extensive consultation with project beneficiaries and project affected persons.  Compensating for losses incurred and displaced incomes and livelihoods; and  Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on PAPs livelihoods and their wellbeing. WSDP Resettlement Policy Framework- RPF 26 RATIONALE FOR PREPARING THE RPF Given the nature of the WSDP, few project investment have been identified while others have not been identified at the time of preparation of this RPF. This RPF therefore will be the basis for preparing the project investments specific Resettlement Action Plans (RAPs). The RPF will set out the procedures for the development of more detailed RAPs for those investments/projects and associated facilities that have an impact on land, assets, and livelihoods. The RPF ensures that any possible adverse impacts are addressed through appropriate mitigation measures, in particular, against potential impoverishment risks. FLEXIBILITY OF THE RPF Since this RPF is prepared for a 10 year program it needs to be flexible to respond to the changes which may happen during the life of the WSDP. Such changes will include:  Changes in relevant legislations; introduction of new acts and legislations;  Possible reforms in the water and land sector which may affect existing ministerial arrangements,  Possible adjustments to the new devolved structures etc. RPF PRINCIPLES UNDER WSDP 1. Involuntary resettlement and land acquisition will be avoided where feasible, or minimized, where it cannot be eliminated. 2. This RPF applies to all PAPs regardless of the total number affected, the severity of the impact and whether or not they have legal title to the land. Informal or customary tenure is to be treated in the same manner as formal, legal titles. 3. Where involuntary resettlement and land acquisition are unavoidable, resettlement and compensation activities will be conceived and executed as sustainable development programs, providing resources to give PAPs the opportunity to share project benefits. 4. PAPs will be meaningfully consulted and will participate in planning and implementing of the resettlement activities. 5. PAPs will be assisted in their efforts to ideally improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or levels prevailing prior to the beginning of the project implementation, whichever is higher. 6. Measures to address resettlement shall ensure that project affected peoples are informed about their options and rights pertaining to resettlement, are included in the consultation process and given the opportunity to participate in the selection of technically and economically feasible alternatives. They will also be provided WSDP Resettlement Policy Framework- RPF 27 prompt and effective compensation at full replacement cost for losses of assets and access attributable to the project investments. 7. Projected affected persons if resettled will be supported to integrate economically and socially into host communities so that adverse impacts on host communities and vice versa are minimized. To this end, appropriate patterns of social organization will be promoted and existing social and cultural institutions of PAPs will be supported to the greatest extent possible. 8. All PAPs will be identified and recorded as early as possible, preferably at project investment identification stage, in order to protect those affected by the project and prevent an influx of illegal encroachers, squatters, and other non- residents who will wish to take advantage of such benefit. 9. Particular attention will be paid to the needs of vulnerable groups among those displaced; especially those below the poverty line, the landless, the elderly, women and children, orphans, marginalized groups and the ethnic minorities or other displaced persons who may not be protected through the Kenyan law. The objective is to provide whatever additional assistance may be necessary to restore pre-project living standards. 10. The implementation of individual RAPs must be completed prior to the implementation of the investments under WSDP. Furthermore, this RPF applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank and Government of Kenya are a) directly and significantly related to WSDP investments; b) necessary to achieve its objectives as set forth in the project documents; and c) carried out, or planned to be carried out, at the same time as the project. As noted above, investments under WSDP will avoid or at least minimize involuntary resettlement to the extent possible. However, where it is unavoidable, appropriate measures to mitigate adverse impacts will be carefully planned and implemented following the general framework outlined in this document. INVOLUNTARY RESETTLEMENT Involuntary resettlement, if left unmitigated, normally gives rise to severe economic, social, and environmental risks. People face impoverishment when their productive assets or income sources are lost and social networks are weakened. Some of the impacts of resettlement, if not mitigated, include: (a) Landlessness (b) Joblessness (c) Homelessness (d) Marginalization (e) Increased morbidity and mortality (f) Food insecurity (g) Educational loss (h) Loss of access to common property and (i) Social displacement. WSDP Resettlement Policy Framework- RPF 28 ENTITLMENT UNDER RPF PHYSICAL DISPLACEMENT If people must move to another location due to the implementation of a sub project under WSDP, the GoK, through the Executing Agency (IA) with engagement of National Land Commission5 (NLC) as is required by the Land Act 2012, will offer displaced persons choices among others feasible resettlement options, including adequate replacement housing, land or cash compensation based on the replacement cost where appropriate. In accordance with OP.4.12 (Annex 8), displaced PAPs will also be provided full relocation costs above the compensation amount. Particular attention will be paid to the needs of the poor and the vulnerable, who will be assisted through capacity empowerment during the RAP implementation to adapt to new environments. In the case of physically displaced persons with recognized or recognizable rights, the project will offer the choice of replacement property of at least equal value, equivalent or better characteristics and equal or better location or cash compensation at full replacement value. Where displaced persons own and occupy structures, the project will compensate them for the loss of assets other than land, such as dwellings and other improvements to the land, at full replacement cost. Compensation in kind will be offered in lieu of cash compensation based upon mutual agreement between the EA and PAPs as provided for by the Land Act 2012. The Land Act 2012, the legal instrument governing land acquisition and compensation in Kenya, specifies that all PAPs must get just compensation. It is specific in regard to costs related to moving, disturbances, and legal fees for land transactions of the PAPs. This presents a gap where if not properly interpreted may not see the PAPs getting compensation for the above related costs unless the Bank procedures are followed. For that reason, in all instances where compensation will be undertaken, unless the interpretation of just and fair compensation by NLC is taken to mean all other related costs of relocation mentioned above then the Bank policies will apply and will require that these costs are fully met (full replacement costs) by the implementing agency. ECONOMIC DISPLACEMENT The Land Act 2012, Part VIII, section 111 and 125, talks of just, full and prompt payment in the assessment of NLC in case of economic displacement. There is no specific mention of moving allowance and disturbance allowance as part of the compensation. Again, as highlighted above unless “just payment” is interpreted to include related costs of economic displacement, the bank procedures that provide for the same will be followed instead of the host country regulation. If land acquisition for a given sub project funded under WSDP causes loss of income or livelihood, regardless of whether or not the affected people are physically displaced, the project will meet the following requirements:- 5 National Land Commission (NLC) is the legally constituted body authorized to undertake or give approval to compulsory acquisition of Land, according to Land Act 2012. However by the time of writing this document the body had not been appointed by the President of the Republic of Kenya. WSDP Resettlement Policy Framework- RPF 29 a) Promptly compensate economically displaced persons for loss of assets or access to assets at full replacement cost; b) In cases where land acquisition affects commercial structures, compensate the affected business owner for the cost of re-establishing commercial activities elsewhere, for lost net income during the period of transition, and for the cost of transfer and reinstallation of plants, inventory, machinery and other equipment; c) Provide replacement property (e.g., agricultural or commercial sites) of equal or greater value, or cash compensation at full replacement cost where appropriate, to persons with legal rights or claims to land which are recognized or recognizable; d) Compensate economically displaced persons who are without legally recognizable claims to land for lost assets (such as crops, irrigation infrastructure and other improvements made to the land) other than land, at full replacement cost; e) Provide additional targeted assistance (e.g. credit facilities, training or job opportunities) and opportunities to improve or at least restore their income- earning capacity, production levels, and standards of living to economically displaced persons whose livelihoods or income levels are adversely affected; f) Provide transitional support to economically displaced persons, as necessary, based on a reasonable estimate of the time required to restore their income earning capacity, production levels, and standards of living. In particular, the taking of land and related assets will take place only after full compensation has been paid and where applicable, resettlement sites, new homes, related infrastructure, public services and relocation costs have been provided to economically or physically displaced persons. WSDP Resettlement Policy Framework- RPF 30 5. LEGAL AND REGULATORY FRAMEWORK The chapter sets out the legal operating environment for acquisition of land as anticipated in the implementation of the WSDP. The chapter seeks to highlight major issues related to Kenya’s land legislation with regards to compulsory land acquisition and involuntary resettlement. It provides a brief overview of Kenya’s Land Policy, Kenyan Constitution 2010 and related provisions connected with land use, planning, acquisition, management and tenure, and more specifically the legislation related with land expropriation or acquisition, land valuation and land replacement. The chapter compares the Kenyan legislation with the World Bank provisions on resettlement, with gaps highlighted and recommendations drawn to fill gaps. Table 1. Summary of relevant legal statutes applicable to WSDP Legal Framework Functional Relationship to Resettlement Constitution of Kenya 2010 Constitution of Kenya 2010 recognizes individuals’ right to acquire and own property provided they are citizens of the country in article 40. However, Article 66 of the same provides for the State to regulate the manner in which these rights may be curtailed for the benefit of the general public. Article 47 of the Constitution provides for administrative action to override the individual rights but the victim has to be given written reason for the action taken that undermines the right. The Land Act 2012 Laws of Kenya It is the substantive law governing land in Kenya and provides legal regime over administration of public and private lands. It also provides for the acquisition of land for public benefit. The government has the powers under this Act to acquire land for projects, which are intended to benefit the general public. The projects requiring resettlement are under the provision of this Act. Land Registration Act, 2012 The law provides for the registration of absolute proprietorship interests over land (exclusive rights) that has been adjudicated or any other leasehold ownership interest on the land. Such land can be acquired by the state under the Land Act 2012 in the project area. National Land Commission Act 2012 The act establishes the National Land Commission with the purpose of managing public land and carrying out compulsory acquisition of land for specified public purposes. The Land Adjudication Act Chapter 95 Laws of Provides for ascertainment of interests prior to land registrations Kenya under the Land Registration Act 2012 through an adjudication committee that works in liaison with adjudication officers. The Valuers Act 532 The act establishes valuers registration board, which has the responsibility of regulating the activities and conduct of registered valuers in accordance with the provision of the act. Environment and Land Court Act, 2011 This act establishes Environment and Land Court, a court with status of high court which shall facilitate the just, expeditious, proportionate and accessible resolution of disputes related to land and environment, including compulsory land acquisition, land tenure, titles, boundaries, compensation, valuations, rates, land use and environmental planning. WSDP Resettlement Policy Framework- RPF 31 THE NATIONAL LAND POLICY The National Land Policy (“NLP” or “Policy”)6 was adopted in August 2009 with the aim of providing an overall framework for new legislation and defining key measures required to address critical issues such as land administration, access to land, land use, and restitution related to historical injustices and an outdated legal framework. The NLP addresses constitutional issues such as compulsory acquisition and development control.7 Section 45 of the NLP defines compulsory acquisition as “the power of the State to extinguish or acquire any title or other interest in land for a public purpose, subject to prompt payment of compensation.”8 Under the current Constitution,9 the Land Act 2012 empowers the National Land Commission (under the guidance of Minister for Lands) to exercise the power of compulsory acquisition on behalf of the State.10 Similarly, the NLP empowers the National Land Commission to compulsorily acquire land.11 According to the NLP, the exercise of compulsory acquisition in the past has been conducted with abuses and irregularities.12 The NLP therefore calls for a revision of such power and requires the GoK: 1. To review the law on compulsory acquisition to align it with the new categories of land ownership (public, private and community land);13 2. To harmonize the framework for compulsory acquisition to avoid overlapping mandates;14 3. To establish compulsory acquisition criteria, processes and procedures that are efficient, transparent and accountable;15 4. To institute legal and administrative mechanisms for the exercise of the power of compulsory acquisition by the State through the National Land Commission;16 and 5. To confer pre-emptive rights on the original owners or their successor in title where the public purpose or interest justifying the compulsory acquisition fails or ceases.17 6 Sessional Paper No. 3 of 2009 on National Land Policy (referred to as the “National Land Policy” in this report) was adopted in August 2009 by the Ministry of Lands. Available at http://www.lands.go.ke/index.php?option=com_content&task=view&id=238&Itemid=48, accessed May 25, 2011. 7 Development control is the power of the State to regulate the property rights in urban and rural areas and is derived from the State’s responsibility to ensure that the use of land promotes the public interest. 8 Sessional Paper No. 3 of 2009 on National Land Policy, § 45. 9 The Constitution of Kenya, 1963, was replaced in 2010. 10 Land Act, § 6, 2012. 11 Sessional Paper No. 3 of 2009 on National Land Policy. §233(d). 12 Id. at Chapter 3.2.1.1, article. 46. 13 Id. at Chapter 3.2.1.1, article. 47(a). 14 Id. at Chapter 3.2.1.1, article. 46 and 47(b). Under the previous Constitution, Chapter IX (Trust Land), Art. 18, the President and local authorities had the power to set apart Trust Land for the purposes of the Government of Kenya or any corporate body established by an Act of Parliament, or companies which shares are held on behalf of the GoK and for extraction of minerals and oils. This power does not exist under the new Constitution. Under the Government Lands Act, the President has special powers with regards to government land, and he may exercise these powers through the Commissioner of Lands. (Government Lands Act, Chapter 280, §3.) 15 Sessional Paper No. 3 of 2009 on National Land Policy, Chapter 3.2.1.1, § 47(c). 16 Id. at Chapter 3.2.1.1, p. 47(d). 17 Id. at Chapter 3.2.1.1, §47(e). WSDP Resettlement Policy Framework- RPF 32 THE CONSTITUTION OF KENYA The Constitution of Kenya, 2010,18 protects the sanctity of private property rights and states that no property can be compulsorily acquired by the Government except in accordance with law.19 Article 40(3) states: “The State shall not deprive a person of property of any description, or of any interest in, or right over, property of any description, unless the deprivation” – a) results from an acquisition of land or an interest in land or a conversion of an interest in land, or title to land, in accordance with Chapter Five; or b) is for a public purpose or in the public interest and is carried out in accordance with this Constitution and any Act of Parliament that – (i) Requires prompt payment in full, of just compensation to the person; and (ii) Allows any person who has an interest in or right over, that property a right of access to a court of law.20 The Constitution empowers the state to exercise the authority of compulsory acquisition. Land Act, 2012 designates the NLC as the institution empowered to compulsorily acquire land.21 Article 40 of the Constitution provides that the state may deprive owners of property only if the deprivation is "for a public purpose or in the public interest," but neither the Constitution nor any law provides an exclusive list of permissible public purposes or interests. The state's exercise of this power is left at the discretion of NLC, and requires the state to make full and prompt payment of "just compensation" and an opportunity for appeal to court. Article 40(3) (a) refers to acquisition and conversion of all kinds of land in Kenya (private, public, community land and foreign interests in land). The Constitution further provides that payment of compensation shall be made to “occupants in good faith” of land acquired by the state who do not hold title for such land.22An occupant in good faith is a “bona fide” occupant. On the other hand, under the Constitution, those who have acquired land illegally are not regarded as deserving any compensation.23 In addition to Article 40, Chapter 5 of the Constitution is relevant to compulsory acquisition. This chapter, entitled "Land and Environment," is divided into two parts. Part 1 deals with land, and Part 2 deals with environment and natural resources. Part 1 of Chapter 5, articles 60 – 68, describes the principles of land policy. Land should be held, used and managed in a manner that is equitable, efficient, productive and sustainable and in accordance with security of land rights, sound conservation and protection of 18 The Constitution of Kenya, 2010, was adopted by the Government of Kenya on 27 August 2010. The full text is available at http://www.kenyalaw.org/klr/fileadmin/pdfdownloads/Constitution/Constitution_of_Kenya2010.pdf, accessed May 25, 2011. 19 Constitution of Kenya, art. 40. 20 Id. 21 The Land Act, 2012 The Government of Kenya, Section 8. 22 Constitution of Kenya. Id. at art. 40(5). 23 Constitution of Kenya. Id. at art. 40(6). WSDP Resettlement Policy Framework- RPF 33 ecologically sensitive areas.24 These principles must be implemented through a national land policy reviewed regularly by the national government and through legislation.25 LAND TENURE SYSTEM IN KENYA Land tenure in Kenya is classified as public, community or private.26 Public land consists of government forests (other than those “lawfully held, managed or used by specific communities as community forest, grazing areas or shrines”27), government game reserves, water catchment areas, national parks, government animal sanctuaries and specially protected areas.28Public land will be managed by the National Land Commission.29 Community land includes land that is “lawfully held, managed or used by specific communities as community forest, grazing areas or shrines,” and “ancestral lands and lands traditionally occupied by hunter-gatherer communities.”30 Rights are also held through traditional African systems, and rights that derive from the English system introduced and maintained through laws enacted by colonial and then the national parliament. The former is loosely known as customary tenure bound through traditional rules (customary law). The latter body of law is referred to as statutory tenure, secured and expressed through national law, in various Act of parliament e.g. Land Act 2012, Land Registration Act, 2012, Trust Land Act (cap 288) of the Laws of Kenya.) Customary Land Tenure This refers to unwritten land ownership practices by certain communities under customary law. Kenya being a diverse country in terms of its ethnic composition has multiple customary tenure systems, which vary mainly due to different agricultural practices, climatic conditions and cultural practices. However most customary tenure systems exhibit number of similar characteristics as follows:  First, individuals or groups by virtue of their membership in some social unit of production or political community have guaranteed rights of access to land and other natural resources.  Individuals or families thus claim property rights by virtue of their affiliation to the group. Freehold Tenure This tenure confers the greatest interest in land called absolute right of ownership or possession of land for an indefinite period of time, or in perpetuity. Freehold land is governed by the Land Registration Act, 2012. The Act provides that the registration of a person as the proprietor of the land vests in that person the absolute ownership of that land together with all rights, privileges relating thereto. A freehold title generally has no restriction as to the use and occupation but in practice there are conditional freeholds, 24 Id. at art. 60. 25 Id. at art. 60(2). 26 Id. at art. 61. 27 Id. at art. 63(d)(i). 28 Id. at art. 62(g). 29 Id. at arts. 62(3), 67(2)s (a). 30 Id. at art. 63(d)(i) and (ii). WSDP Resettlement Policy Framework- RPF 34 which restrict the use for say agricultural or ranching purposes only. Land individualization was demanded by the colonial settlers who required legal guarantee for the private ownership of land without which they were reluctant to invest. Leasehold Tenure Leasehold is an interest in land for a definite term of years and may be granted by a freeholder usually subject to the payment of a fee or rent and is subject also to certain conditions which must be observed e.g. relating to developments and usage. Leases are also granted by the government for government land, the local authorities for trust land and by individuals or organizations owning freehold land. The maximum term of government leases granted in Kenya is 99 years for agricultural land and urban plots. There are few cases of 33 years leases granted by government in respect of urban trust lands. The local authorities have granted leases for 50 and 30 years as appropriate. Public Tenure This is where land owned by the Government for her own purpose and which includes unutilized or un-alienated government land reserved for future use by the Government itself or may be available to the general public for various uses. The land is administered under the Land Act 2012. These lands were vested in the president and who has, normally exercised this power through the Commissioner of Lands, to allocate or make grants of any estates, interests or rights in or over un-alienated government land. However the new constitution grants those rights to the NLC which is governed by the National Land Commission Act, 2012 that specifies the role of NLC as:  to identify public land, prepare and keep a database of all public land, which shall be geo-referenced and authenticated by the statutory body responsible for survey;  evaluate all parcels of public land based on land capability classification, land resources mapping consideration, overall potential for use, and resource evaluation data for land use planning; and  acquire land for public purposes  solve land disputes and deal with historical land injustices  share data with the public and relevant institutions in order to discharge their respective functions and powers under this Act; or  may require the land to be used for specified purposes and subject to such conditions, covenants, encumbrances or reservations as are specified in the relevant order or other instrument. Categories of government land include forest reserves, other government reserves, alienated and un-alienated government land, national parks, townships and other urban centers and open water bodies.’ The Government Lands Act does not contain any notion of trusteeship by government of the land to her people. Notwithstanding the fore-going, it is a common law doctrine to the effect that common property resources such as rivers, forests and parks are held by the state in trust for the general public. Consequently, the state cannot alienate these resources or use them in a way detrimental to public interest. This is the doctrine that would ensure that public land WSDP Resettlement Policy Framework- RPF 35 cannot be alienated or committed to waste to the detriment of public interest. It is the case that the statutory framework for land ownership in Kenya is heavily influenced by common law jurisprudence on land ownership-the owner’s rights include the rights of use and abuse. In Kenya however, the development of physical planning legislation has vested in the state the cumulative rights of other land owners. The regulatory power is referred to as police power. LAND ACT, 2012 The Land Act 31 is the Kenya’s framework legislation regulating compulsory acquisition of land (i.e. land, houses, easements etc.). The LA was adopted on 2nd May 2012 and provides for sustainable administration and management of land and land based resources including compulsory acquisition. The Act is based on the 2010 Constitution that recognizes the rights of the landowner and the necessity for fair and just compensation.32 LAND ACQUISITION PROCESS - Proof that compulsory possession is for public good It is very explicit in the Land Act, 2012, Section 107, that whenever the national or county government is satisfied that it may be necessary to acquire some particular land under section 110 of Land Act 2012, the possession of the land must be necessary for public purpose or public interest, such as, in the interests of public defence, public safety, public order, public morality, public health, urban and planning, or the development or utilization of any property in such manner as to promote the public benefit; and the necessity therefore is such as to afford reasonable justification for the causing of any hardship that may result to any person having right over the property, and so certifies in writing, possession of such land may be taken. Respective Government agency or cabinet must seek approval of NLC The respective Cabinet Secretary or Government agency or the County Executive Committee Member must submit a request for acquisition of private land to the NLC to acquire the land on its behalf. The NLC will prescribe a criteria and guidelines to be adhered to by the acquiring authorities in the acquisition of land. But at the same time the NLC may reject a request of an acquiring authority, to undertake an acquisition if it establishes that the request does not meet the requirements prescribed. Inspection of Land to be acquired NLC may physically ascertain or satisfy itself whether the intended land is suitable for the public purpose which the applying authority intends to use as specified. If it certifies that indeed the land is required for public purpose, it shall express the satisfaction in writing and serve necessary notices to land owners and or approve the request made by acquiring authority intending to acquire land. 31 Land Act, 2012. 32 The Constitution of Kenya, 2010 recognizes just fair and full compensation when compulsory acquisition of land is made. WSDP Resettlement Policy Framework- RPF 36 Publication of notice of intention to acquire Upon approval, NLC shall publish a notice of intention to acquire the land in the Kenya Gazette and County Gazette.33 It will then serve a copy of the notice to every person interested in the land and deposit the same copy to the Registrar34 The courts have strictly interpreted this provision, requiring that the notice include the description of the land, indicate the public purpose for which the land is being acquired and state the name of the acquiring public body.35NLC will therefore be required to make a comprehensive notice that includes description of land, public purpose for which the land is acquired and the acquiring public body. The Land Registrar shall then make entry in the master register on the intention to acquire as the office responsible for survey, at both national and county level, geo- references the land intended for acquisition. Serve the notice of inquiry Thirty days after the publication of the Notice of Intention to Acquire, the NLC then schedules a hearing for public inquiry. NLC must publish notice of this hearing in the Kenya Gazette and County gazette 15 days before the inquiry meeting and serve the notice on every person interested in the land to be acquired. Such notice must instruct those interested in the land to deliver to the NLC, no later than the date of the inquiry, a written claim for compensation.36 Holding of a public hearing The NLC convenes a public hearing not earlier than 30 days after publication of the Notice of Intention to Acquire. On the date of the hearing, the NLC must conduct a full inquiry to determine the number of individuals who have legitimate claims on the land, the land value and the amount of compensation payable to each legitimate claimant.37 Besides, at the hearing, the Commission shall— make full inquiry into and determine who are the persons interested in the land; and receive written claims of compensation from those interested in the land. For the purposes of an inquiry, the Commission shall have all the powers of the Court to summon and examine witnesses, including the persons interested in the land, to administer oaths and affirmations and to compel the production and delivery to the NLC of documents of title to the land. The public body for whose purposes the land is being acquired, and every person interested in the land, is entitled to be heard, to produce evidence and to call and to question witnesses at an 33 The Kenya Gazette is the official government journal in Kenya published by the Government Printing Press. 34 Land Act, 2012, 107 35 Government of Kenya 1994. Coastal Aquaculture Limited v. The Commissioner of Lands and Settlement and the Minister of Lands and Settlements. Mombasa H.C. Misc. Appl., No. 55 of 1994, http://www.kenyalaw.org/CaseSearch/case_download.php?go=97115264151454584840489&link=, accessed May 25, 2011. This ruling was upheld by the Court of Appeal. Coastal Aquaculture Limited v. the Commissioner of Lands and Settlement and the Minister of Lands and Settlements. Nairobi. No. 252 of 1996, http://www.kenyalaw.org/CaseSearch/view_preview1.php?link=49186237036025529910634, accessed May 25, 2011. 36 Land Act, 2012 (112). 37 Id. at article 112. WSDP Resettlement Policy Framework- RPF 37 inquiry. It will also provide opportunity to those interested in the land to hear the justification of the public authority in laying claims to acquire the land. Valuation of the land Part III of the Land Act 2012, section 113 (2a) states that “the Commission shall determine the value of conclusive evidence of (i) the size of land to be acquired; (ii) the value, in the opinion of the Commission, of the land; (iii) the amount of compensation payable, whether the persons interested in the land have or have not appeared at the inquiry.” This can be interpreted that NLC must determine the value of the land accordingly and pay appropriate just compensation in accordance with the principles and formulae stipulated that it will develop. Nonetheless, just compensation could also be interpreted as market rated. The final award on the value of the land shall be determined by NLC and shall not be invalidated by reason of discrepancy which may be found to exist in the area. Matters to be considered in determining compensation: Market value of the property, which is determined at the date of the publication of the acquisition notice.38 Determination of the value has to take into consideration the conditions of the title and the regulations that classify the land use e.g. agricultural, residential, commercial or industrial. Increased market value is disregarded when:  It is accrued by improvements made within two years before the date of the publication of the acquisition notice, unless it is proved that such improvement was made in good faith and not in contemplation of the proceedings for compulsory acquisition.  It is accrued by land use contrary to the law or detrimental to the health of the occupiers of the premises or public health.  Any damages sustained or likely to be sustained by reason of severing such land from other land owned by the claimant.  Any damage sustained or likely to be sustained if the acquisition of the land had negative effects on other property owned by the claimant.  Reasonable expenses, if as a consequence of the acquisition, the claimant was compelled to change his residence or place of business (i.e., compensation for disruption to the claimant’s life).  Any damage from loss of profits over the land occurring between the date of the publication of the acquisition notice and the date the Commissioner takes possession of the land.39 Matters not to be considered in determining compensation: a) The degree of urgency which has led to the acquisition. b) Any disinclination of the person’s interest to part with the land. c) Damages sustained by the claimant which will not represent a good cause of action. 38 Id. at article 112 and article 111. 39 Schedule 2 governing compensation. WSDP Resettlement Policy Framework- RPF 38 d) Damages which are likely to be caused to the land after the publication of the acquisition notice or as a consequence of the future land use. e) Increased land value accrued by its future use. f) Any development at the time of acquisition notice, unless these improvements were necessary for maintaining the land.40 Award of compensation Under the Land Act 2012 section 117, the State may award a grant of land in lieu of money compensation (“land for land”), upon agreement, and provided the value of the land awarded does not exceed the value of the money compensation that would have been allowable.41 The law stipulates that any dispossessed person shall be awarded the market value of the land.42 The new law is silent on relocation support or disturbance allowance support. Upon the conclusion of the inquiry, and once the National Land Commission (NLC) has determined the amount of compensation, NLC prepares and serves a written award of compensation to each legitimate claimant.43 The NLC will publish these awards which will be considered “final and conclusive evidence” of the area of the land to be acquired, the value of the land and the amount payable as compensation.44 LA, Section 115 further stipulates that an award shall not be invalidated by reason only of a discrepancy between the area specified in the award and the actual area of the land. Compensation cannot include attorney’s fees, costs of obtaining advice, and costs incurred in preparing and submitting written claims. Payment of Compensation A notice of award and offer of compensation shall be served to each person by the Commission. Section 120 provides that “first offer compensation shall be paid promptly” to all persons interested in land45 before a notice of acquisition is issued. Section 119 provides a supplementary condition and states that if the size of land is greater than the size of land in respect of which the award has been made, then NLC shall compensate for excess size “as soon as practicable.”46 Where such amount is not paid on or before the taking of the land, the NLC must pay interest on the awarded amount at the market rate yearly, calculated from the date the State takes possession until the date of the payment. 47 In cases of dispute, the Commission may at any time pay the amount of the compensation into a special compensation account held by the Commission, notifying any persons interested accordingly. If the amount of any compensation awarded is not paid, the Commission shall on or before the taking of possession of the land, open a special 40 Schedule 3 governing compensation for compulsory acquisition. 41 Land Act, 117. 42 Land Act, Schedule 43 Land Act, 115 44 Land Act, 115 45 Land Act, This language reflects the language of the Kenya Constitution, 1963. 46 Land Act, 119 47 Land Act 115. WSDP Resettlement Policy Framework- RPF 39 account into which the Commission shall pay interest on the amount awarded at the rate prevailing bank rates from the time of taking possession until the time of payment. Transfer of Possession and Ownership to the State Once first offer payment has been awarded, the NLC serves notice to all persons with interest in the property indicating the date the Government will take possession. Upon taking possession of land, the commission shall ensure payment of just compensation in full. When this has been done, NLC removes the ownership of private land from the register of private ownership and the land is vested in the national or county Government as public land free from any encumbrances.48 Temporary Possession The Commission has also the power to obtain temporary occupation of land. However, the commission shall as soon as is practicable, before taking possession, pay full and just compensation to all persons interested in the land. Urgent Acquisition In cases of where there is an urgent necessity for the acquisition of land, and it would be contrary to the public interest for the acquisition to be delayed by following the normal procedures of compulsory acquisition under this Act, the Commission may take possession of uncultivated or pasture or arable land upon the expiration of fifteen days from the date of publication of the notice of intention to acquire, and on the expiration of that time the Commission shall, notwithstanding that no award has been made, take possession of that land. If the documents evidencing title to the land acquired have not been previously delivered, the Commission shall, in writing, require the person having possession of the documents of title to deliver them to the Registrar, and thereupon that person shall forthwith deliver the documents to the Registrar. On receipt of the documents of title, the Registrar shall— cancel the title documents if the whole of the land comprised in the documents has been acquired; if only part of the land comprised in the documents has been acquired, the Registrar shall register the resultant parcels and cause to be issued, to the parties, title documents in respect of the resultant parcels. If the documents are not forthcoming, the Registrar will cause an entry to be made in the register recording the acquisition of the land under this Act. Opportunity for Appeal The Kenya Constitution establishes Environment and Land Court49. Article 162 of the constitution provides for the creation of specialized courts to handle all matters on land and the environment. Such a court will have the status and powers of a High Court in every respect. Article 159 on the principles of judicial authority, indicates that courts will endeavor to encourage application of alternative dispute resolution mechanisms, including traditional ones, so long as they are consistent with the constitution. Section 20, of the Environment and Land Court Act, 2011 empowers the Environment and Land Court, on its own motion, or on application of the parties to a dispute, to direct the application of alternative dispute resolution (ADR), including traditional dispute 48 Land Act, 115 and 116 49 Land Act 2012, Section128 WSDP Resettlement Policy Framework- RPF 40 resolution mechanisms. Any person whose land has been compulsorily acquired may petition the Environment and Land Court for redress with respect to:  The determination of such person's right over the land;  The amount offered in compensation; and  The amount offered in compensation for damages for temporary dispossession in the case of the Government’s withdrawal of its acquisition of the land.50 Parties will pay fees as determined by Environment and Land Court, which may waive them completely or in part on grounds of financial hardship.51 CHILDREN AND ORPHANS PROVISION OF LAND POSSESSION The Land Act 2012, Part III, section 2752 recognizes the capacity of a child as being capable of holding title to land through a trustee and such a child shall be in the same position as an adult with regard to child’s liability and obligation to the land. THE VALUERS ACT Valuation of land is a critical aspect of compulsory acquisition practice. Compensation awards will be made by the National Land Commission based on land valuation determined by registered valuers. The Valuers Act53establishes the Valuers Registration Board, which regulates the activities and practice of registered valuers. All valuers must be registered with the Board to practice in Kenya. The Board shall keep and maintain the names of registered valuers which shall include the date of entry in the register, the address of the person registered the qualification of the person and any other relevant particular that the Board may find necessary. As of March 2011, there were 285 registered valuers in Kenya.54 The Valuers Act does not provide for a description of the valuation procedures and methods. In case of professional misconduct, the registered valuer is guilty of an offense punishable with a fine (not exceeding Ksh.10,000) and/or imprisonment for three years. Fees for land valuation in case of compulsory acquisition are established based on the value of the property as “the first Kshs 400,000 at 1 per cent. Residue at 0.5 per cent”55 and are paid by those who requested the valuation. WSDP sub-project RAPs will make use of the services of registered valuers who are approved by Valuers Registration Board. 50 Land Acquisition Act. at article 29(7). 51 Land Acquisition Act at article 43. 52 “A child shall be capable of holding title to land through a trustee and such child be in the same position as an adult with regard to the child’s liability and obligations to the land”. 53 The Valuers Act, Chapter 532, http://www.kenyalaw.org/kenyalaw/klr_app/frames.php, accessed May 25, 2011. 54 Government of Kenya, Kenya Gazette notice no. 2892, March 18, 2011. Registered and Practicing Valuers. 55 Legal Notice 32. WSDP Resettlement Policy Framework- RPF 41 6. COMPARISON OF KENYA LAWS AND WORLD BANK REQUIREMENTS Table 2 next page outlines World Bank policies on involuntary resettlement and compares them to Kenyan legislation on the same. The World Bank’s Operational Policy on Involuntary Resettlement (O.P. 4.12 is widely accepted as reflecting international standards on involuntary resettlement. Laws on land administration in Kenya are comprehensive but differ in several ways with the Bank’s OP 4.12 (Involuntary Resettlement) policy. For example, entitlements for payment of compensation are essentially based on the right of ownership, which limits the rights of non-formal occupants like slum dwellers or squatters which the Bank’s OP 4.12 policy recognizes. The table also includes a comparative analysis of Kenya’s Land Laws and Bank’s OP. 4.12 with recommendations on addressing areas of conflict. In all cases where the Kenyan regulations appear less stringent than OP. 4.12 the bank procedures is proposed to apply. WSDP Resettlement Policy Framework- RPF 42 Table 2. Comparative Analysis of World Bank OP 4.12 and Government of Kenya requirements including measures to address gaps OP 4.12 Kenyan Legislation Comparison Recommendation to Address Gap GENERAL REQUIREMENTS World bank OP4.12 has overall policy 1. According to Kenyan Legislation, 1. The Law does not stipulate that I. For each of the objectives, requiring that: involuntary resettlement may occur as resettlement should be avoided WSDP subproject, 1. Involuntary resettlement should be a result of projects implemented in wherever possible; on the ensure that avoided wherever possible, or public interest. contrary, as long as a project is for resettlement issues are minimized, exploring all public interest, involuntary considered at the alternatives. 2. The Land Act, 2012 Act outlines resettlement is considered to be design stage of the 2. Resettlement programs should be procedures for sensitizing the affected inevitable. project in order to sustainable, include meaningful population to the project and for 2. Same as the World Bank avoid/ minimize consultation with affected parties, consultation on implications and resettlement. and provide benefits to the affected grievance procedures. parties. 3. Displaced persons should be assisted in improving livelihoods 3. The Land Act 2012 guarantees the 3. Just and fair compensation as Implement World etc., or at least restoring them to right to fair and just compensation in outlined in the Land Act 2012 is Bank OP 4.12 policy - previous levels. case of relocation. not clear and can only be displaced should be determined by NLC which can be assisted in improving subjective. It is does not talk their livelihood to about improving livelihood or pre-project status. restoring them to pre-project status. OP 4.12 Kenyan Legislation Comparison Recommendation to Address Gap PROCESS REQUIREMENTS Consultation: Displaced persons The Land Act outlines procedures for Same as World Bank Implement consultation procedures as should be meaningfully consulted and consultation with affected population outlined in both Kenyan legislation and should have opportunities to participate by the NLC and grievance management World Bank. in planning and implementing procedures. resettlement programs 43 OP 4.12 Kenyan Legislation Comparison Recommendation to Address Gap Grievance: For physical resettlement, Land Act 2012 clearly outline the steps Kenyan legislation meets OP4.12 N/A appropriate and accessible grievance and process for grievance redress that requirements. mechanism will be established. includes alternative dispute resolution, re-negotiation with NLC and is backed by the judicial system through Environmental and Land Court Eligibility Criteria The Land Act 2012 provides that Kenya’s Land Law defines eligibility Ensure ALL users (including illegal Defined as: written and unwritten official or as both formal (legal) and informal squatters, labourers, rights of access) of (a) those who have formal legal rights customary land right are recognized as (customary) owners of expropriated affected lands are included in the to land (including customary and valid land right. The Law provides that land. However, it does not specifically census survey or are paid (see Section traditional rights recognized under the people eligible for compensation are recognize all users of the land to be 4). laws of the country); those holding land tenure rights compensated. (b) those who do not have formal legal Land Act also recognizes those who rights to land at the time the census have interest or some claim in the land The constitution of Kenya on the other begins but have a claim to such land or such pastoralist or who use the land for hand recognizes ‘occupants of land’ assets—provided that such claims are their livelihood. who do not have title and who the state recognized under the laws of the has an obligation to pay in good faith country or become recognized through The constitution recognizes ‘occupants when compulsory acquisition is made. a process identified in the resettlement of land even if they do not have titles’ plan (see Annex 10 A, para. 7(f)); and payment made in good faith to and19 those occupants of land. However, this (c) those who have no recognizable does not include those who illegally legal right or claim to the land they are acquired land occupying Implement cut-off procedures as To determine eligibility: outlined in the RPF and Kenyan Law Carry out resettlement census. Cut-off Same as World Bank date for eligibility is the day when the Land Act 2012 provides for census census begins. through NLC inspection and valuation process WSDP Resettlement Policy Framework- RPF 44 OP 4.12 Kenyan Legislation Comparison Recommendation to Address Gap Measures: Preference should be given Legislation provides for land for land Land for Land provided for in the Land Ensure that all alternative options are to land based resettlement strategies for compensation but the Land Act 2012 Act but act not specific on when it considered in preference to providing displaced persons whose livelihoods does not state whether preference should applied except when the cash compensation (as outlined in the are land-based. should granted to land to land affected person choses to receive land Entitlement Matrix). compensation. to land award. Cash based compensation should only be made where (a) land taken for the Land Act 2012 appears to prefer mode Cash based compensation seems to be Use World Bank OP4.12 procedures in project is a small fraction of the of compensation by the Government to the preferred mode of awarding determining form of compensation affected asset and the residual is the affected population. compensation to the affected economically viable; (b) active markets population by Government of Kenya for lost assets exist and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. Land Act talks of prompt, just and full World Bank OP4.12 Article 6(a) compensation before the acquisition of Implement prompt and effective requires that displaced persons are land. However, interpretation of just Just compensation as stipulated in the compensation at full replacement cost provided with prompt and effective compensation is yet to be clearly Land Act not yet specifically defined. for the losses of the assets. compensation at full replacement cost outlined through a specific schedule for losses of assets attributable directly defining just and fair compensation to the project. If physical relocation is have not been put in place. an impact, displaced persons must be Implement World Bank policy on provided with assistance during Attorney’s fees, cost of obtaining Land Act very clear on attorney fees Attorney’s fees. relocation and residential housing, advice or cost incurred in preparing and that it is not included. OP 4.12 includes housing sites and/or agricultural sites to making written claim not included in those cost as part of full replacement at least equivalent standards as the just compensation previous site. Replacement cost does not take depreciation into account. In terms of valuing assets, if the residual of the asset being taken is not economically viable, compensation and assistance must be provided as if the entire asset had been taken. OP4.12 requires that displacement must Ensure that ALL resettlement options Compensation and other assistance The Act is does not out rightly stipulate not occur before all necessary measures are agreed on with PAPs and put in required for relocation should be assistance for relocation but we can for resettlement are in place, i.e., place BEFORE displacement of determined prior to displacement, and interpret that relocation cost will be measures over and above simple affected persons. preparation and provision of included in just compensation. compensation resettlement sites with adequate facilities, where required WSDP Resettlement Policy Framework- RPF 45 OP 4.12 Kenyan Legislation Comparison Recommendation to Address Gap Valuation: With regard to land and Valuation is covered by the Land Act Though one could argue that there is Apply the World Bank OP4.12 structures, “replacement cost” is 2012 and stipulates, as already some form of consistency between the valuation measures, as outlined in defined as follows: mentioned, that the affected person Kenyan Law and World Bank OP.4.12, Section 6, in order to fully value all receive fair and just compensation from interpretation of ‘just and fair affected assets in a consistent manner. NLC, as determined by National Land compensation has not be defined. Commission. Valuers Act stipulates For agricultural land, it is the pre- that a residual amount of 0.5% of the project or pre-displacement, whichever total valuation of an asset is expected to Interpretation of just and fair Apply World Bank OP4.12 on is higher, market value of land of equal pay the valuer. compensation not clear valuation and compensation measures. productive potential or use located in the vicinity of the affected land, plus Land Act 2012 talks of fair and just the cost of preparing the land to levels compensation for the lost assets but it is similar to those of the affected land, not specific of the exact amount or plus the cost of any registration and procedures on the same. transfer taxes. For houses and other structures, it is the Interpretation of just and fair Apply World Bank OP4.12 on market cost of the materials to build a compensation not clear. valuation and compensation replacement structure with an area and procedures. quality similar to or better than those of The Land Act 2012 stipulates just and the affected structure, or to repair a fair compensation. partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labour and contractors’ fees, plus the cost of any registration and transfer taxes. Monitor According to Land Act can be Both Kenyan Law and World Bank Implement as prescribed in the World Adequate monitoring and evaluation of undertaken County Land Boards. policy advocates for Monitoring and Bank OP4.12 and Kenyan Law. activities to be undertaken. Evaluation WSDP Resettlement Policy Framework- RPF 46 COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO THE PROCESS Table 3: Comparative Analysis of World Bank OP 4.12 and Kenya’s requirements Relevant to the Process Category of PAPs and Type Kenyan Law World Bank OP4.12 of Lost Assets Land Owners Fair and just compensation which could be in form of cash Recommends land-for-land compensation. Other compensation or Land for Land compensation is at replacement cost Land Tenants Constitution says that ‘occupants of land’ entitled to some PAPs are entitled to some form of compensation whatever level of pay in good faith. Land Act stipulates that they are the legal/illegal recognition of their occupancy. entitled to some compensation based on the amount of rights they hold upon land under relevant laws. However, those who acquired land illegally not entitled to any. Land Users Land Act not clear on Land Users although in some cases Entitled to compensation for crops and investments made on they can receive some form of compensation depending on the land; livelihood must be restored to at least pre-project the determination by NLC levels. Owners of Temporary Buildings The constitution of Kenyan respects the right to private Entitled to in-kind compensation or cash compensation at property and in case of compulsory acquisition, just full replacement cost including labour and relocation compensation must be granted to the owner for the loss expenses, prior to displacement. temporary buildings. Owners of Permanent buildings The constitution of Kenyan respects the right to private Entitled to in-kind compensation or cash compensation at property and in case of compulsory acquisition, just full replacement cost including labour and relocation compensation must be granted to the owner for the expenses, prior to displacement. permanent building Perennial Crops Just and fair compensation for the loss of crops As per specifications of this RPF, once approved by the Bank and disclosed at the Bank info shop, WSDP Resettlement Policy Framework- RPF 47 7. ELIGIBILITY CRITERIA, ENTITLEMENT, VALUATION AND COMPENSATION This chapter is a summary description of the category of the affected groups under the WSDP and the potential type of impacts related to involuntary resettlement. In addition, this chapter describes entitlements for each type and category of impact, and sets out the detailed requirements for determining the value of affected assets and outlining the process by which valuation will be undertaken. It also explains entailment and compensation measures. CATEGORY OF PROJECT AFFECTED PERSONS Affected groups under WSDP sub-project investments in this RPF will include: Affected Individual – An individual who suffers loss of land, property, other assets or investments made on land, livelihood, and/or access to natural and/or economic resources as a result of the sub project investments funded under WSDP. Affected Household – A household is affected if one or more of its members is affected by WSDP sub projects, either by loss of property, land, and access, or otherwise his or her livelihood could be affected in any way by project activities. They include:  any members in the households, men, women, children, dependent relatives and friends, tenants;  vulnerable individuals who may be too old or ill to farm along with the others;  relatives who depend on one another for their daily existence; a. Vulnerable Groups and Households56 – Vulnerable groups, individuals or part of the households may have different land needs from most households or needs unrelated to the amount of land available to them, e.g.:  Female headed households;  Poor  non-farming residents;  the elderly;  the sick;  the disabled; 56 Any community is vulnerable to the shock of broken attachments to land, jobs, markets and social life. Such impacts take a toll in the form of economic and social setbacks. Individual persons and households weather these setbacks differently. Some recover fully in a few months. Most recover partially during a transitional period of one or more years. Some never recover. Persons, households, even entire communities are notably predisposed to be adversely affected by resettlement because of pre-existing poverty due variously to age and disability, economic disadvantage, or marginal social status. Due to these various conditions, some households may not access compensation or participate in resettlement development programs; may not own land, or enterprises; or are often crowded out by more powerful elements in the society. Such pre-existing extreme poverty is a reliable indicator of vulnerability to project impact and the degree to which severe impoverishment is likely to occur during a resettlement. 48  Persons Living With HIV/AIDS;  Marginalized and Vulnerable Persons; and  Orphans and Vulnerable Children  Slum Dwellers  Fisher folk Vulnerable groups will be identified during preparation of investment specific WSDP RAP preparation during the census survey57. Following is a brief explanation of some of the vulnerable groups identified for this RPF and measures to address their vulnerabilities  Child-headed Households/ Orphans -Due to the impacts of the AIDS crisis in Kenya and the past conflicts around the country, there are a considerable (some estimates put it at 20% of all children or 1.758 million) number of orphaned children, who have lost at least one parent. These children today fall into three categories of care namely (i) those being looked after by close relatives, (ii) those being looked after by the government, local authorities or NGOs and (iii) those living alone and providing for themselves and other siblings. These children are more vulnerable since they are often “voiceless” because they have no parents to defend or stand up for them and also because they are considered too young to be heard. Measures mitigate vulnerabilities: The project shall ensure that any orphaned children impacted by the project are well taken care off - access food, education, health among other social needs and their right to lost assets are not lost.  Unmarried women-These are women who may be dependent on male members or others for support. Since an affected individual is able to name the person with whom he/she is linked in dependency as part of the household, resettlement will not sever this link. Mitigation measures: The WSDP project shall ensure they do not lose their access to family support and keep their rights to lost assets and get support to initiate livelihood related activities.  HIV/AIDS afflicted persons-Relatively high percentages of the poor and total population are living with HIV or are terminally ill with HIV/AIDS. Many are beneficiaries of numerous health programmes from the government, international organizations and the NGO community. Mitigation measures: The WSDP project shall ensure HIV/AIDS affected household continue to access to medical treatments and related nutritional support. Livelihood support programs will also be initiated 57 WSDP is aware that Social Assessment for Wajir/Daadab was carried out. However, in view of costs and logistics, we will use the findings of specific RAP census survey to identify vulnerable groups 58 According Kenya Bureau of Statistics (KBS) there over 1.7 million orphans, of this, UNAIDS reports 1.1 HIV/AIDS affected orphaned. WSDP Resettlement Policy Framework- RPF 49  Single-headed households (Female/Male)-These may depend on relatives, sons, brothers, or others for support. The women in particular should not be resettled in a way that separates them from their households as the very survival of their households may depend on them. Their compensation must take into account all these factors. Mitigation measures: The WSDP project shall ensure they do not lose their access to family support and keep their rights to lost assets and get support to initiate livelihood related activities. Additional support will also be provided.  Small-scale female farmers-Small-scale female farmers are also vulnerable because they may not have men available within the household to carry out male specific land preparation tasks. Either male relatives in other households help them voluntarily, or they hire men for cash, or food. Land compensation will specifically include the labour costs of preparing new land. Mitigation measures: The WSDP project shall ensure they small-scale female farmers receive necessary support and farm in-puts to produce sufficient food and support themselves. Their tenure rights will also be protected.  Disabled: Disabled persons are also classified as vulnerable persons because of the physical dismemberment. Mitigation Measures: WSDP will be sensitive to their vulnerability and ensure that additional support is provided to the disabled.  Elderly persons-Elderly people farm or work as long as they are able. Their economic viability may depend on how much land they farm or how much they produce because, by producing even small amounts of food to “exchange” with others, they can subsist on cooked food and generous return gifts of cereal from people such as their kith, kin and neighbours. Losing land will affect their economic viability and resettlement would damage their economic viability even more than losing land since it will separate them from the person or household on whom they depend for their support. Mitigation measures: The WSDP project shall ensure that affected small-scale female farmers receive necessary support and farm in-puts to produce sufficient food and support themselves. Their tenure rights will also be protected.  Affected local community – A community is affected if project activities affect their socio-economic and/or social-cultural relationships or cohesion. For example project activities could lead into loss of welfare or cultural erosion etc. In addition, the investments under WSDP can cause breakdown of communities and social networks due to physical separation as a result of the investment specific infrastructures if not mitigated. Mitigation measures: The WSDP investments will be keen to avoid affecting social-cultural relationships or cohesion. Where this is occasioned, a Social Impact Assessment (SIA) will be undertaken to mitigate unintended social impacts. Secondly, an Indigenous Peoples Plan will be prepared. WSDP Resettlement Policy Framework- RPF 50  Slum dwellers: Slum dwellers are category of people who stay in urban informal settlements. Their situation is characterised by a lot of vulnerabilities. They are vulnerable to evictions due to lack of secure property rights. They are vulnerable to exploitation by vested interests, criminal gangs, sanitation, environmental hazards and labour hazards. Mitigation Measures: WSDP will be sensitive to their vulnerability and ensure that before any sub-project investment that affects them is implemented, they are meaningfully consulted and engaged and resettled. WSDP project may negatively impact on their incomes making them highly vulnerable. This group is also exposed to HIV/AIDS, droughts, storms and changes in fishing stock. These household types are not mutually exclusive, and a single female heading a household may be a small-scale farmer or an orphan may be an HIV/AIDS affected person. These groups are particularly vulnerable to land acquisition activities, and as such the following considerations will be made when project sites are identified and PAPs listed. In addition, the list above is not an exhaustive list and the socioeconomic survey which will be done for preparation of project specific RAPs under the WSDP needs to be exhaustive in the category of the affected people and their sources of livelihoods. The degree of set-back for most vulnerable persons, households and communities is commonly fortuitous: e.g., one household, all of whose cropland is taken, will be more severely affected than a household with comparable landholding that loses only half its cropland. The sources and variations of impact and debilitating shock will be varied as to require a case-by-case approach for remediation. Vulnerable Assistance Measures A Vulnerable Assistance Programme will be developed by WSDP for specific RAP to provide a safety net for vulnerable households. The objective will be to identify, assess, support, remediate, and monitor project-affected households experiencing severe hardship, as part of the overall Livelihood Assistance Package for each household. Vulnerable persons will be specifically identified, registered, and tracked through the following means:  Analysis of RAP socio-economic survey data and case work on household composition, assets, source of income, and food security  Community identified households receiving charity  Analysis of records or case work on each household being compensated  Department of Social Welfare at the Sub-County level Eligibility for Vulnerability Assistance The identification of vulnerable households will be on the following factors:  Predisposition to economic vulnerability;  The aged;  People with disability;  Single mothers; WSDP Resettlement Policy Framework- RPF 51  The infirm; and  Children. Form of Assistance to Vulnerable Groups Assistance may take the following forms, depending upon vulnerable persons’ requests and needs:  Assistance in the compensation payment procedure (e.g., specifically explain the process and procedures, make sure that documents are well understood);  Assistance in the post-payment period to secure the compensation money and reduce risks of misuse/robbery;  Additional cash to enable them restore their livelihood  Counselling in matters such as family and health;  Ensuring that the vulnerable enjoy equal opportunity during employment procedures; and  Where alternative farming land is to be found, ensure it is at the most easily accessible locations. ELIGIBILITY TYPE FOR COMPENSATION The following are some of the category of impacts eligible for compensation. The list, though, can be added to when socio-economic study and census undertaken for individual investments under WSDP, where other types of impacts could be identified.  Land  Property  Land and property  Structures on land  Crops and trees  Livelihoods  Grazing land  Businesses  Community assets  Landing sites All affected persons irrespective of their status or whether they have formal titles, legal rights or not, are eligible for some kind of assistance if they occupied the land before the entitlement cut-off date. The entitlement cut-off date refers to the time when the assessment of persons and their property in the area is carried out for the preparation of investment specific RAPs. Table 4 below summarizes the entailments for each group of affected persons. WSDP Resettlement Policy Framework- RPF 52 ENTITLEMENT MATRIX Table 4: Entitlement Matrix Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Agricultural land Farmer/ title holder Cash compensation for affected land equivalent to replacement value Less than 20% of land holding affected Land remains economically viable. Tenant/ lease holder Cash compensation for the harvest or product from the affected land or asset, equivalent to average market value of last 3 years, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. Greater than 20% of land holding lost Farmer/ Title holder Land for land replacement where feasible, or compensation in cash for the entire landholding according to PAP’s choice equal to replacement cost. Land does not become economically viable. Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure status at an available location which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + livelihood rehabilitation assistance ) Relocation assistance (costs of shifting + assistance in re-establishing economic trees + livelihood rehabilitation assistance ) Tenant/Lease holder Cash compensation equivalent to average of last 3 years’ market value for the mature and harvested crop, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + livelihood rehabilitation assistance 53 Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Land users Impact on livelihood Land less, encroachers Compensation to restore livelihood and ensure they will not be worse off as a result of the investments’ activities. Commercial Land Land used for business partially affected Title holder/ business Cash compensation for affected land owner Limited loss Opportunity cost compensation equivalent to 5% of net annual income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist). Business owner is lease Opportunity cost compensation equivalent to 10% of net annual income based on tax holder records for previous year (or tax records from comparable business, or estimates where such records do not exist) Assets used for business severely affected Title holder/business Land for land replacement or compensation in cash according to PAP’s choice. Land owner for land replacement will be provided in terms of a new parcel of land of equivalent If partially affected, the remaining assets size and market potential with a secured tenure status at an available location which is become insufficient for business purposes acceptable to the PAP. Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates) Business person is lease Opportunity cost compensation equivalent to 2 months net income based on tax holder records for previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher. Relocation assistance (costs of shifting) Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to re-establish the business. Residential Land Land used for residence partially affected, Title holder Cash compensation for affected land limited loss Remaining land viable for present use. Rental/lease holder Cash compensation equivalent to 10% of lease/ rental fee for the remaining period of rental/ lease agreement (written or verbal) Land and assets used for residence severely Title holder Land for land replacement or compensation in cash according to PAP’s choice, based affected on the replacement cost. Land for land replacement shall be of minimum plot of acceptable size under the WSDP Resettlement Policy Framework- RPF 54 Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Remaining area insufficient for continuing zoning law/ s or a plot of equivalent size, whichever is larger, in either the community use or become smaller than minimally or a nearby resettlement area with adequate physical and social infrastructure systems accepted under zoning laws as well as secured tenure status. When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value. Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Land and assets used for residence severely Rental/lease holder Refund of any lease/ rental fees paid for time/ use after date of removal affected Cash compensation equivalent to 3 months of lease/ rental fee Remaining area insufficient for continued use or becomes smaller than minimally Assistance in rental/ lease of alternative land/ property accepted under zoning laws Relocation assistance (costs of shifting + allowance) Buildings and structures Structures are partially affected Owner Cash compensation for affected building and other fixed assets Remaining structures viable for continued Cash assistance to cover costs of restoration of the remaining structure use Rental/lease holder Cash compensation for affected assets (verifiable improvements to the property by the tenant). Disturbance compensation equivalent to two months rental costs Entire structures are affected or partially Owner Cash compensation for entire structure and other fixed assets without depreciation affected equal to replacement cost, or alternative structure of equal or better size and quality in an available location which is acceptable to the PAP. Remaining structures not suitable for continued use Right to salvage materials without deduction from compensation Relocation assistance (costs of shifting + allowance) Rehabilitation assistance if required (assistance with job placement, skills training) Rental/lease holder Cash compensation for affected assets (verifiable improvements to the property by the tenant) Relocation assistance (costs of shifting + allowance equivalent to four months rental costs) Assistance to help find alternative rental arrangements Rehabilitation assistance if required (assistance with job placement, skills training) WSDP Resettlement Policy Framework- RPF 55 Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Squatter/informal dweller Cash compensation for affected structure without depreciation Right to salvage materials without deduction from compensation Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available) Rehabilitation assistance if required assistance with job placement, skills training) Street vendor (informal Opportunity cost compensation equivalent to 2 months net income based on tax without title or lease to the records for previous year (or tax records from comparable business, or estimates), or stall or shop) the relocation allowance, whichever is higher. Relocation assistance (costs of shifting) Assistance to obtain alternative site to re- establish the business. Standing crops Crops affected by land acquisition or PAP (whether owner, Cash compensation equivalent to average of last 3 years market value for the mature temporary acquisition or easement tenant, or squatter) and harvested crop, plus the labour cost. Trees Trees lost Title holder Cash compensation based on type, age and productive value of affected trees plus 10% premium Loss of access to grazing On livelihood Households undertaking Alternate Arrangements: Encourage adoption of zero-grazing techniques, grazing activities in the affected areas. Economic rehabilitation assistance: Provide assistance to facilitate this transition... For example, assistance with and payment for construction of new zero-grazing structures on alternative lands; provision of buffer lands for growth of cattle fodder; assistance with cultivation of fodder, provision of cattle fodder for lag period until cultivated cattle fodder becomes available. Ensure that the livestock owners have access to land for grazing or ways to sustain their livelihoods. Loss of access to water Loss of access to water for household use, Affected households Replace water access: Provide alternate access to water sources in the interim sources for household plots, etc. period. Ensure that the investments’ design take into consideration different use and need for water and accommodate the users accordingly. Loss of communal Loss of access to these sites, temporarily or Communities affected Consultation: Undertake consultation with affected households to determine properties such as burial permanently, loss of investment made. appropriate arrangements and compensation if suitable. Replacing the social grounds and places of building such as schools and dispensaries. worship, community centres, and social WSDP Resettlement Policy Framework- RPF 56 Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected buildings Loss of livelihoods Loss of means of livelihoods such as small Communities engaging in Livelihood restoration programs: Undertake to help the affected communities restore production, such as collection of forest non-farming livelihoods their livelihood. product, fishery, bee keeping, small such as hunters and dependent jobs on affected assets, such as gatherers, fisher folk, sand, forest, inaccessible water bodies and beekeeper. forest Temporary Acquisition Temporary acquisition PAP (whether owner, Cash compensation for any assets affected (e. g. boundary wall demolished, trees tenant, or squatter) removed) WSDP Resettlement Policy Framework- RPF 57 PROCESSES OF COMPENSATION AND ENTITLMENT Formal Processes Involved With Compulsory Acquisition of Land The following is the formal processes involved when land needed for public development projects is acquired. Step 1: An acquiring authority makes a formal request to the NLC indicating the purpose of the land to be acquired. The request should prove that the land is needed for public purpose. Step 2: The Commission will consider the request in view of the guidelines. If the Commission is convinced that the land is required for public purpose, the Commission will write to the Acquiring Agency to that effect, and directs the them to acquire the land. Step 3: The Commission will then give “Notice of Intention” to acquire the land in the “Kenya Gazette or County gazette” side by side with the “Notice of Inquiry”. The public announcements will be made widely in standard mass communication avenues such as newspapers and on the radio. The “Notice of Intention” must mention the public body or the public purpose for which the land is to be acquired. The “Notice of Inquiry” must mention places and fixed dates when persons interested in the subject land are to submit their claims to the NLC or their appointee. Step 4: NLC will inspect the land and undertake valuation through any of the registered valuer for just compensation before issuing an award depending on their own assessment and the representations of interested parties as submitted at the inquiry. Step 5: The award will then be issued in the prescribed form indicating the amount of compensation awarded while the statement form gives the landowners option of acceptance or rejection of the award. If the landowner accepts the award, NLC or acquiring authority will issue a first offer cheque, which may be interpreted as the first tranche in settlement. During receipt, the landowner will sign an acceptance letter when receiving the first tranche. Step 6: After receipt of first tranche a “Notice of Taking Possession and Vesting” will be issued by NLC or acquiring authority on the exact date of taking possession. The notice will instructs the landowner to take his/her title for amendment or cancellation. It is copied to the Government Land Registrar to make necessary changes to the affected deed. On the other hand, if the owner rejects the award, the NLC or acquiring authority deposits the money in special account pending the former’s appeal. Compensation will be based on ‘just compensation’. Step 7: After notice has been served NLC or acquiring authority shall promptly pay, in full, the remaining compensation in accordance with the award to the persons entitled 58 Step 8: After the full compensation and after land has been acquired, NLC or acquiring authority shall as soon as practicable ensure that a final survey is undertaken of the land acquired. Section 117 of Land Act 2012 allows for in-kind compensation as follows:- “Notwithstanding anything contained in the Lands Act, where the land is acquired for the Government or County government, NLC may agree with the person whom he has determined to be the proprietor of the land that person, instead of receiving an award, shall receive a grant of land, not exceeding in value the amount of compensation which NLC considers would have been awarded, and upon the conclusion of the agreement that person shall, be deemed conclusively to have been awarded and to have received all the compensation to which he is entitled in respect of his interest. An agreement under subsection (1) shall be recorded in the award. Such a grant can be another land or anything equivalent to the value of the land59”. Establishment of Sub-County Resettlement and Compensation Committee (SCRCC) For the purpose of this RPF, at each Sub-County level where most sub-project investments are likely to be, an ad hoc Sub-County Resettlement and Compensation Committee (SCRCC) will be established to help ensure that all legal processes involving valuation and compensation are followed in a just and transparent manner. This committee is proposed to ensure participation and inclusion of stakeholders. It should be noted that the Land Act 2012 provides for establishment of NLC which shall establish County Land Board (CLB). The roles of the CLB as regards land acquisition and resettlement has not been defined. In a sense, the NLC will advise the role of CLB as regards acquisition. However, ad hoc SCRCC is proposed for the time being and is subject to replacement once the NLC advices otherwise. The SCRCC will ensure effective communication among between affected persons, NLC, CLB and implementing agency. The SCRCC will include representative of NLC, representative of implementing agency or acquiring authority60, Sub-County land office, social service department, representative of an NGO, representative of the PAPs among other members. The SCRCC will liaise between the PAPs at the lower levels through the Locational Resettlement and Compensation Committee (LRCC). METHOD TO DETERMINE CUT-OFF DATES The entitlement cut-off date refers to the time when the assessment of persons and their property in particular project areas is carried out, which is the time when the census or economic survey is initiated. The establishment of a cut-off date is required to prevent opportunistic invasions/rush migration into the area. 59 Land Act 2012, section 117. 60 Acquiring authority is the Implementing agency that has made formal request to acquire land. WSDP Resettlement Policy Framework- RPF 59 Where there are clearly no identified owners or users of land or assets, the respective Sub-County and County Administration will notify the community leaders and representatives to help to identify and locate the land users and owners. These leaders and representatives will also be charged with the responsibility to notify their members about the established cut-off date and its significance. The PAPs will be informed through both formal notification in writing and by verbal notification delivered in the presence of the community leaders or their representatives. METHODS OF ASSETS VALUATION Valuation is the process of determining the value of land, or an asset that PAPs possesses or use. Compensation for all land use and assets in kind or cash will be required for the following:  Land;  Residential buildings, structures and fixtures;  Cultivated crops (both cash and food crops) and trees; and  Loss of businesses or employment. In addition, resettlement and economic rehabilitation assistance will be provided to the PAPs, as outlined in the Entitlement Matrix. It is essential that if cash compensation is selected then replacement values are used to establish actual compensation for all projects funded under WSDP. A registered valuer with Valuers Registration Board (VRB) will undertake the valuation exercise, using existing market price, to establish replacement cost. This will done as part of the preparation of each investment specific RAP. Although the type of compensation will be the individual’s choice, compensation in kind will be preferred as cash payments raises issues regarding inflation and security. In addition, provision of cash does not ensure that the PAP’s income will be restored. For payment of compensation in-kind, the timing and alternative locations will have to be decided and agreed upon by each recipient, in consultation with the individual project SCRCC. VALUATION PROCESS OF ASSETS Development of Standard Valuation Table Due to the expected investments under WSDP and the localized nature of the majority of project interventions, it is anticipated that a relatively large number of small-scale asset valuations will need to be carried out during the course of the implementation of WSDP. Field Preparation of asset inventory The first step will be to carry out an asset valuation survey as part of the RAP preparation. The team will include the consultant contracted by the implementing agency to carry out the RAP and the Sub-County and/or registered land valuer who will work closely with SCRCC, which will be established for the implementation of the RAP in a given project Sub-County. It will include a representative of the PAPs. Each asset will be enumerated and inscribed on an inventory and a valuation of the asset carried out WSDP Resettlement Policy Framework- RPF 60 using the approach described above. The values of each asset will then be recorded in a register and shown to the affected person for agreement. The register will be signed and a copy given on the spot to the affected person. At this time, a copy of the grievance procedure will also be given to the affected person as stated in the grievance redress mechanism. The information collected, including census, will have been compiled in electronic and hard copy form, with a separate file for each affected household, including:  Census results;  Asset inventory and valuation;  Photographs; and  Any other relevant information. The type of compensation will be an individual choice although every effort will be made to instil the importance and preference of accepting in kind compensation if the loss amounts to more than 20% of the total loss of subsistence assets. Table 5 below describes the forms of compensation. Table 5. Forms of Compensation FORMS OF COMPENSATION Compensation will be calculated in Kenya Shillings, based on the replacement Cash Payments cost. Rates will be adjusted for inflation. Compensation may include items such as land, houses, and other buildings, In-kind Compensation building materials, seedlings, agricultural inputs and financial credits for equipment. Resettlement and Assistance may include livelihood restoration measures, moving allowance, Economic transportation and labour Rehabilitation Assistance WSDP is aware that cash compensation will be the most preferred mode of payment by most PAPs going by previous Government of Kenya projects’ compensation records. It is also clear to WSDP that cash compensation leads poor households, who are losing houses and land, to spend on short-term spending leading to longer-term impoverishments of PAPs. Cash also leads to negative impacts for women as payments are generally paid to male households’ heads. To mitigate this, WSDP will make it a policy that affected households incorporate women as signatories to their accounts. For this WSDP will prefer in-kind compensation. One purpose of using in-kind compensation will be to reduce inflationary pressure on the cost of goods and services. Local inflation may still occur and thus market prices will be monitored within the time period that compensation is being made to allow for adjustments in compensation values. The issue of security, especially for people who will be receiving cash compensation payments will be addressed by the local administration. The timing and venue for in- kind compensation will be decided by each implementing agency in charge of specific investment with consultation with the PAPs and with the assistance of SCRCC. WSDP Resettlement Policy Framework- RPF 61 METHODS FOR VALUING ASSETS IN KENYA Valuation is not an exact science. There are, however, certain fundamentals and basic appraisal methods which will enable the valuer to arrive at a logical and supportable estimate of value of property owned by PAPs. Any valuation model to have validity it will have to produce an accurate estimate of the market price. The method will therefore have to reflect the market culture and conditions at the time of valuation. The following method will be considered:- Investment method The investment method will treat property like any other investment in the market, where the main factors influencing investment decisions are security of principal, adequate yield, security of income, administrative costs and capital growth. The procedure is to capitalize the rental income (net of expenses or outgoing) using a coefficient based on the prevailing market yield. Yield adjustments will have to be made where income is terminable. Where ownership will accrue in future or the expected income stream is likely to change, the benefit is deferred at an appropriate rate, where adequate market data are available. Where sale and rental transactions are rare, and there is scarcity of comparative data on rental and capitalization rates, the method will not be used. Direct comparison method The method will be used to value assets by comparing like with like. It is a very reliable method if current market information is available on sale prices and rentals. It is usual to reduce sales or rented information to unit price for compensation purpose. Replacement Cost Approach Replacement Cost Approach, is where market sale and rental information is not available, value can be arrived at by using the cost approach - that the costs of replacing assets is based on damages caused by project operations. The approach involves direct replacement of expropriated assets and covers an amount that is sufficient for asset replacement, moving expenses and other transaction costs. This is the method that will be preferred when compensating all WSDP project affected persons. Gross Current Replacement Cost Gross Current Replacement Cost (GCRC) is defined as the estimated cost of erecting a new building having the same gross external area as that of the existing one, with the same site works and services and on a similar piece of land. OTHER METHODS Rates from Contractors: When rate schedules do not exist or are out of date, recent quotations by contractors for similar types of construction in the vicinity of the project will be used for calculating replacement costs. In projects offering the options of cash compensation or alternative accommodation, the construction cost estimates for alternative accommodation could be used for calculating cash compensation payable. WSDP Resettlement Policy Framework- RPF 62 Schedule of rates from Ministry of Public Works: Ministry of Public Works have a schedule of rates for preparing estimates for construction projects, which the consultant can use to assess costs for construction materials and labour. When applied to calculate replacement cost, rates current for the period of actual replacement must be used. As noted earlier, to comply with OP 4.12, under this RPF the replacement cost approach will be used, which includes all expenses to replace a lost property and/or land. No depreciation will be used since the crux of this approach is that the people who lose land and assets will be able to replace them at least at the pre project level. CALCULATION OF COMPENSATION BY ASSETS The following methods of calculation will be adopted for the preparation of the aforementioned standardized asset valuation tables and/or the application of specific case by case valuations in the case of projects that have significant impacts. Compensation for Land in urban areas The compensation will be based on replacement cost, which will be the market price plus the cost of buying a new plot of land and the fees and taxes involved. Compensation for Agricultural Land The WSDP project will provide first replacement of land for any affected land. If receiving land as compensation, the affected party will then be compensated for the labour required to replant the crops. In the case where there is no alternative land available, cash compensation at full replacement value will be provided. This will be valued based on the prevailing market value in the locality to purchase an equally productive plot of land in the same locality. Any associated costs of purchasing the land i.e., taxes, registration fees will be included in the compensation. Compensation will also be done for any improvement made on the land with calculation made using current prevailing market rates for labour, equipment and materials. In cases where land lost is only a small fraction of total land owned by the PAP, but renders the remaining land as unusable, the compensation provided will be calculated based on the total land affected (i.e., the actual land lost plus the remaining unusable land). In addition, the PAPs will be compensated for any permanent improvements made to the land (for instance water distribution and supply lines). This will be calculated based on the price of making the permanent improvement at current prevailing market rates for labour, equipment and materials. Compensation for land is aimed at providing a farmer and land owners whose land is acquired and used for project purposes, with compensation for land labour and crop loss. The farmer’s labour is one of the biggest investments he/she makes in producing a crop which is higher than all other inputs such as seed and fertilizer. As a result, compensation relating to land will cover the market price of labour invested as well as the market price of the crop lost. WSDP Resettlement Policy Framework- RPF 63 Land Measurement For purposes of measuring land under WSDP, the unit of measurement would be that which is used and understood by the PAP and if a traditional unit of measure exists in the rural areas, that unit will be used. If a traditional unit of measurement does not exist in a particular area then it is recommended that land should be measured in metres or any other internationally accepted unit of measurement. However, in such an event, the unit that is being used must be explained to the affected farmers/users and must somehow be related to easily recognizable land features that the communities are familiar with, such as using location of trees, stumps, etc. as immovable pegs. The most important concern of this exercise is to ensure that the affected person is able to verify using his/her own standards/units of measurement, the size of land that is being lost. This will ensure transparency in the system and will thus avoid subsequent accusations of wrong measurements or miscalculation of areas. A farmer should know how much land he/she is losing, in terms of size and the replacement land must be at least of that same size and comparable value as land lost. Calculation of Crops Compensation Rate The compensation of the crops will be paid at market rate for the production lost. This rate incorporates the value of crops and the value of the labour invested in preparing new land. Market value is equivalent to average of last 3 years market value for the mature and harvested crop. The value of the labour invested in preparing agricultural land and ploughing will be compensated at the average wage in the community for the same period of time. Crop Values Determination The value of each staple crop affected will be taken as the highest market price (over 3 years) reached during the year. This will be validated from current market prices of crops as kept by Sub-County Agricultural office. The labour cost for preparing replacement land is calculated on what it would cost a farmer to create a replacement land. This value is found by adding together the average costs of clearing, ploughing, sowing, weeding twice, and harvesting the crop. The labour costs will be paid in Kenya Shillings at the prevailing market rates. For transparency reason, all land labour will be compensated for at the same rate. If the land is needed at agriculturally critical date when farmer or PAPs will not have enough time to prepare another land without assistance, support will be provided in the form of labour intensive village hire, or perhaps mechanized clearing, so that replacement land will be ready by the sowing dates. The farmer will still continue to receive his/her cash compensation to enable him/her to pay for sowing, weeding and harvesting. Compensation for Buildings and Structures Compensation will be paid by replacing structures such as houses, buildings, huts, farm, outbuildings, latrines and fences on alternative land provided as an in-kind compensation. Cash compensation would be available as preferred option for structures lost, that are not WSDP Resettlement Policy Framework- RPF 64 the main house or house in which someone is living. The ongoing market prices for construction materials will be determined. Alternatively, compensation will be paid in- kind for the replacement costs without depreciation of the structure. The second option is provision of cash compensation at full replacement value. Replacement values will be based on:  Measurements of structures and detail of materials used;  Average replacement costs of different types of household buildings and  Structures based on collection of information on the numbers and types of materials used to construct different types of structures (e.g. poles, bricks, rafters, bundles of straw, corrugated iron sheets, doors etc.).  Prices of these items collected in different local markets;  Costs for transportation and delivery of these items to acquired/ replacement  land or building site;  Estimates of construction of new buildings including labour required;  Any associated taxes, registration fees. Voluntary Land Donation For land donated voluntarily for WSDP projects, a written consent must be undertaken by the owner of the land and also consented by the family of the owner and witnessed by the Chief. An agreement will then be prepared by County Lawyer, signed by the owner and witnessed by the Chief. The project will have to ensure that (i) the potential donors have been appropriately informed and consulted about the project and the choices available to them, that potential donors are aware that refusal is an option, (ii) that the donated land is minor and that the donation will not reduce the donors’ current livelihood level, (iii) the donor is expected to benefit directly from the project, and (iv) no household relocation is involved, Compensation for Community Assets Community assets include community-owned assets such as water points, wells, marketplaces and community/ public facilities (e.g., schools, clinics police posts). Community assets will be identified through the census and enumerated. In the event that community assets are affected, in - kind and new facilities will be provided even if there are existing facilities at the new location, except if such assets are not needed in the new place. However, if community trees are affected, the community will be compensated through provision of new seedlings equivalent to the value of lost trees. Some community assets such burial grounds in rare case may need to be moved, therefore the cost of moving graves and related structures will be considered by the project. Compensation for Sacred Sites This RPF is conscious of the fact that valuation of sacred places is a difficult undertaking because of the complexity of placing monetary value on a cultural site. Additionally, most sacred sites belong not only to an individual but a family, village or community. Under this RPF to the largest extent possible, the sacred sites and use of land that is defined to be cultural and/or sacred property by the Banks Safeguards OP 4.11 will be WSDP Resettlement Policy Framework- RPF 65 avoided. Sacred sites will include but not restricted only to; museums, altars, initiation centres, ritual sites, ancestral tombs, trees, stones, and cemeteries which are considered sacred by the project affected persons. It will also include other such sites or places/features that are accepted by local laws (including customary), practice, tradition and culture as sacred. However, if the impact on some cultural sites is unavoidable, outmost care will be taken to ensure that all related activities affecting such sites and compensation is culturally appropriate and acceptable to the involved community and that all the processes are done in a consultative manner and with full participation of the affected communities. Compensation for Loss of Enterprises Business structures in project areas will be replaced in an appropriate location as outlined above. In addition, compensation will be paid for the lost income, profits and production during the transition period (time lag between losing the business and re-establishment). If it is not possible or preferable to provide replacement site for an affected business/enterprise, the full replacement cost to re-establish the business, as described above, will be provided. Compensation for vegetable gardens and beehives Most vegetable garden, form part of the residential space of most homes - though miniature in size, they make critical component of most family’s food and nutritional supplement through provision of vegetables. Until a replacement garden starts to bear, the family displaced (economically or physically), will have to purchase vegetables in the market for daily use. The replacement costs therefore, will be calculated based on the average amount that an average town dweller spends on buying these items for one year per adult from the local market. Beehives are placed in various locations in the bush by individuals specializing in honey gathering. If such hives will be disturbed by the project activities, or access to hives is denied, beekeepers will be free to move them, and hopefully the bees will adapt to the new locations. Beekeepers will be compensated by the value of one season’s production costs of honey for each hive that is moved and any reasonable costs associated with moving the hive. Compensation for horticultural, floricultural and fruit trees Papaya, Banana, Guava, spice crops, medicinal and aromatic crops will form a set of primary fruit trees that are likely to be found in project targeted area and are estimated to account for a significant amount of all fruit bearing trees. They are primarily important as a source of: subsistence food for families; cash produce that contribute to the export economy; petty market income in some areas, and shade (in the case of mango trees). For banana trees, they have a relatively much shorter productive life, normally, than mango trees. For species, banana trees will not bear fruit more than once a year. Therefore, compensation for banana trees will be based on the full market rates for bananas harvested in that year and for one additional year. The second year payment is for the replacement cost of planting a new tree, looking after it and harvesting it which could all be done in one year. This method in general is used for trees/plants that have a relatively short life. WSDP Resettlement Policy Framework- RPF 66 Mango tree and other fruit bearing trees with longer life span will be compensated on a combined replacement/market value. Mango trees used for commercial purposes will be compensated at market value based on historical production records. If households choose to resettle, they will be compensated for the labour invested in the trees they leave behind. For this RPF, the compensation rate will be based on the value of the mango and other fruits harvested in one season multiply by the years of the maturity of the tree. The compensation could also be in the form of providing a combination of new grafted and local trees to farmers, as well as cash payments to offset lost yearly income. Other domestic fruit, shade trees, As defined in this RPF, individuals will be compensated for wild trees which are located in their land. Wild productive trees belong to the community when they occur in the bush as opposed to fallow land. These trees will be compensated for under the umbrella of the community compensation. Compensation for livelihood that are not necessarily land base For those who have small production and that production is a major part of their livelihoods, such as forest fruit and herbs collectors, fishermen, beehive keepers, livestock owners, tenants, those working on land, sand collectors, earning an income, which is affected by any of WSDP sub project investment. The RPF proposes full livelihood restoration and support to such vulnerable groups affected by the project activities. Livelihood Restoration for Economically Displaced:  Promptly compensate economically displaced persons for loss of assets or access to assets at full replacement cost;  In cases where land acquisition affects commercial structures, compensate the affected business owner for the cost of re-establishing commercial activities elsewhere, for lost net income during the period of transition, and for the costs of the transfer and reinstallation of the plant, machinery or other equipment;  Provide replacement property (e.g., agricultural or commercial sites) of equal or greater value, or cash compensation at full replacement cost where appropriate, to persons with legal rights or claims to land which are recognized or recognizable under the national laws;  Compensate economically displaced persons who are without legally recognizable claims to land for lost assets (such as crops, irrigation infrastructure and other improvements made to the land) other than land, at full replacement cost. The client is not required to compensate or assist opportunistic settlers who encroach on the project area after the cut-off date;  Provide additional targeted assistance (e.g., credit facilities, training, or job opportunities) and opportunities to improve or at least restore their income earning capacity, production levels, and standards of living to economically displaced persons whose livelihoods or income levels are adversely affected; and WSDP Resettlement Policy Framework- RPF 67  Provide transitional support to economically displaced persons, as necessary, based on a reasonable estimate of the time required to restore their income earning capacity, production levels, and standards of living. For loss of Agricultural Income, WSDP will focus on improving well-being and adaptation capabilities of the affected people, enhancing resilience and livelihood adaptation and ensuring natural resource sustainability. To generate alternative source of agricultural income, if PAPs will stay in the settlements and have sufficient land for cultivation (in case of unavailability of land, they can purchase by their cash compensation), WSDP will continue the on-going agricultural activity in smaller areas of land in more intensive manner but learn and then use good farming practices to be able to increase crop yield. WSDP Resettlement Policy Framework- RPF 68 8. PREPARING & APPROVING RESETTLEMENT AND COMPENSATION PLANS This chapter describes how a determination will be made (screening) on whether WSDP sub project investments will lead to physical or economic displacements. If through the screening process, it is determined that displacement will occur, then the section highlights the steps, process and methodologies for preparing RAPs. The RAPs for each investment will be prepared in accordance with this RPF. THE SCREENING PROCESS Screening Given the diverse types of investments under the WSDP and as a result different severity of impacts, each investment that is proposed to be included under WSDP will be screened by the WSDP/PCT which will be established under MOWI for overall coordination of WSDP related activities, and classified according to its potential social, economic and environmental impacts. Screening will be based on the defined area of impact, primary engineering drawings, maps and if available satellite images of the project area showing homes, farms, workplaces, schools, health posts, places of worship and other individual and community assets. If screening determines that resettlement is likely, the next step will be to initiate resettlement planning, consultation and the preparation of a RAP. The steps to be undertaken for each individual Resettlement Action Plan (RAP) include; an identification of Project Affected Persons (PAPs), a socioeconomic census and asset inventory of the area, and consultation. Each RAP when prepared will contain the analysis of alternative sites undertaken during the land screening process. Once the decision is made on the location of a given project under WSDP and screening done by the PCT indicate that the project will affect land and/or livelihood, the implementing agency will make a written request to NLC 61 of the intention for the acquisition of the identified area for the proposed WSDP subproject land. NLC will inspect the land and grant approval for the land to be acquired for the implementation of the project. With this approval, NLC shall then go ahead and make a written notification through the Kenya Gazette or County gazette of the intention to acquire the identified land for public purposes. Since NLC is a relatively new institution with limited devolved structures of her own, this RPF proposes the constitution of an ad hoc Sub-County Resettlement and Compensation Committee (SCRCC), whose membership and functions is comprehensively described in Chapter 9 of Institutional Arrangement later: 61 NLC is the legal body, approved by the law to make all compulsory acquisitions (Land Act 2012, National Land Commission Act 2012 and Constitution of Kenya 2010. WSDP Resettlement Policy Framework- RPF 69 With this committee in place, the RAP process will be set in motion First, the SCRCC will begin by meeting with the affected community to inform them about the potential project in their area and its possible impacts on land and livelihoods. A RAP shall then be prepared by the qualified consultants contracted by the implementing agency for the identified WSDP investment. The consultants will work closely with the technical design team, PCT Safeguards team and County Land Office. The following procedural guidelines will apply when it is determined that a RAP would be developed.  All affected individuals will be notified by NLC either directly or through County Land Board (CLB);  All potential PAPs will be identified (through a scoping exercise) and informed about their options and rights pertaining to compensation for land and assets to be acquired by a given project;  PAPs will be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives;  PAPs will receive reasonable compensation at full replacement cost for losses of assets and access attributable to the sub-project.  PAPs will be enabled to restore and preferably improve their living standards compared to pre-project ones. PREPARATION OF A PROJECT SPECIFIC RAP As soon as investment/project is approved to be financed under the WSDP, the implementing agency will initiate a consultative and participatory process for preparing the RAP as follows: (i) A socio-economic survey/census will be completed to determine scope and nature of resettlement impacts including the number of PAPs, the number and size of the assets, the economic activities, the other socio-economic data, and productive assets to be affected, among others. (ii) The socio-economic assessment will focus on the potential affected communities, including some demographic data, description of the area, livelihoods, the local participation process, socio-cultural characteristics of the population. This together with the census will establish baseline information on livelihoods and income, landholding, etc. Aside from the census and socioeconomic survey, which are the basis for collecting data and information on the PAPs and their assets, the following guidelines will be used when the RAP is being developed. (i). Consultation and participatory approaches; A participatory approach will adopted to initiate the compensation process. Cconsultations will start during the planning WSDP Resettlement Policy Framework- RPF 70 stages when the technical designs are being developed, and at the land selection/screening stage. The process therefore seeks the involvement of PAPs throughout the census and socioeconomic study for identifying eligible PAPs and throughout the RAP preparation process. (ii). Notification; All eligible PAPs will be informed about the project and the RAP process. A cut-off date will be established as part of determining PAPs eligibility, which is the date the census or the socioeconomic survey is initiated. In special cases where there are no clearly identifiable owners or users of the land or asset, the RAP team must notify the respective local authorities and leaders. A “triangulation” of information – affected persons; community leaders and representatives; and an independent agent (e.g. local organization or NGO; other government agency; land valuer) – may help to identify eligible PAPs. The RAP team willt notify PAPs about the established cut-off date and its significance. They will be notified both in writing and by verbal notification delivered in the presence of all the relevant stakeholders. (iii). Documentation and verification of land and other assets; NLC, legal agency responsible for the approval of compulsory land acquisition and compensation for national and county development projects, together with a contracted registered valuer, and the SCRCC, will arrange meetings with PAPs to discuss the compensation and valuation process. For each individual or household affected by a given investment/sub-project, the RAP preparation team will complete a Compensation form containing necessary personal information on the PAPs and their household members; their total land holdings; inventory of assets affected; and demographic and socio-economic information for monitoring of impacts. This information will be documented in a rreport, and witnessed by an independent or locally acceptable body such as SCRCC or an NGO in the locality. The reports will be regularly updated and monitored. (iv). Compensation and valuation. All the types of compensation will be clearly explained to the individual and households involved by consultant, NLC representative and SCRCC. This will refer especially to the basis for valuing the land and other assets, which will always be done in the presence of the PAPs or their representatives. Once such valuation is established, the NLC will produce, in presence of SCRCC, a Contract or Agreement that lists all property and assets that will be acquired by the project and the types of compensation selected. Table 4 above provides a sample of entitlements that are eligible for compensation. These options include in-kind (e.g. replacement housing) and cash compensation. All compensation should occur in the presence of the affected persons and the community local leaders. If cash compensation is the preferred choice of the PAPs, the means to provide such cash compensation will be decided by the PAPs, e.g., through a cheque, direct deposit to the PAPs account or direct payment in cash to PAPs given that access to banking is sometimes a challenge in remote environment. WSDP Resettlement Policy Framework- RPF 71 (v). From this point, the provisions of this RPF will be utilised up to payment of the compensation package including resettlement support where appropriate. The costs associated with resettlement or relocation will be included in the RAP budgets for all sub-projects under WSDP. (vi). Payments: The Government of Kenya through the Ministry of Finance will provide funding to the Ministry of Water and Irrigation (MOWI), which is the overall implementing agency for the WSDP. MOWI shall upon receipt of the approved RAP, provide funds directly to NLC with the approved RAP for the actual compensation purposes and acquisition of land. NLC with the help of SCRCC and CLB will make award to the PAPs. (vii). Grievance Mechanism: Establishment of grievance mechanism will be one of the key requirements of the RAP processes in every WSDP investment. One of the key roles of the proposed SCRCC, under individual WSDP investment will be to address disputes. Grassroots based disputes will be dealt by Location Resettlement and Compensation Committee (LRCC) led by the administrative chiefs. All PAPs will be informed by the SCRCC and LRCC how to register grievances or complaints, including specific concerns about compensation and relocation as well as dispute regarding livelihood restoration measures. The PAPs will be informed about the dispute resolution process, specifically about how the disputes will be resolved in an impartial and timely manner. (viii). Environmental and Land Court will provide opportunity for appeal when a solution will not be found using the established local mechanisms. The court will deal with land and compensation related disputes. However, the Land Act 2012 and Environment and Land Court Act 2011 advocates for alternative dispute resolution (ADR) methods in tackling land related disputes. Alternative dispute resolution approaches will be given preference and based on customary rules, arbitration or third-party mediation. ADR will be promoted or defended as a resolution to disputes related to resettlement and land. (ix). Consultation: Following disclosure of all relevant information through the project communication channels and the independent grievance mechanism, all the WSDP sub-projects will provide for informed participation of affected persons and communities, including host communities, in decision making processes related to resettlement. APPROVAL OF RESETTLEMENT ACTION PLANS: All RAPs developed for WSDP project investments will be reviewed by the WSDP/PCT and the World Bank. For quality assurance, it is required that RAPs prepared for specific investments be submitted to the World Bank for review to ensure that they are produced in line with principles of this RPF and safeguards quality control. Gaps in quality shall be addressed through reviewers and the contracted consultants. WSDP Resettlement Policy Framework- RPF 72 Once the individual RAPs are approved, they should be disclosed in the country and in the Bank info shop. In addition, each RAP should be available in the localities where the investments are intended for. The entitlement section of each RAP and the entitlement matrix should be translated into the local language and be distributed among the affected communities. FIGURE 1. RAP SCREENING AND APPROVAL PROCESS DISCLOSURE WSDP Resettlement Policy Framework- RPF 73 9. IMPLEMENTATION ARRANGEMENTS The overall coordination of the projects under the WSDP will be provided by the Ministry of Water and Irrigation (MOWI) through the WSDP/PCT. The PCT has the overall role of the coordination and quality control, and among its other roles, it ensures that the investment prepare the needed safeguards instrument, in this case the RAP, in accordance to the RPF. However, each investment under WSDP is implemented by a particular county. WSDP/PCT will screen proposed projects to determine their viability and feasibility. Once a project is proposed for funding, PCT will prepare a ToRs for the RAP consultant, the RAP developed as required, and subsequently reviewed. The preparation and implementation of individual RAPs is the responsibility of the relevant implementing agencies. The Department for Water Supply and Sanitation in the Ministry of Water and Irrigation (MWI) is the executing agency for WSDP. It will be responsible for overall project management, and for monitoring and. However, given that all participating entities are procuring, implementing, and monitoring their own project activities, the ministry’s project management team is expected to be very lean and integrated with existing structures. Counties and their WSPs will be the main implementing agencies, because according to the Water Act 2016, they are responsible for all county water supply and sanitation infrastructure and services. Water Services Boards will in future only be responsible to implement inter-county activities. Therefore, CWSB will be the implementing agency for the bulk water sub-component under component 1, because the bulk water system runs across four Counties. The WSPs will do the bulk of the procurement, because they will be in charge of all procurements for county wide water supply and sanitation infrastructure and for ant TA for the WSPs. Counties will procure contracts to support County functions which are not delegated to the WSPs, such as enforcing construction codes for septic tanks etc. Counties will therefore do only small contracts (mostly TA) up to a threshold in accordance with the findings of the procurement capacity assessment for counties. The MWI and WASREB will do any procurement needed to carry out their responsibilities under the project. The table below gives an overview about the implementing agencies: Component Implementing Agencies Component  Mombasa county and Mombasa Water Company (MoWASCO) 1.1  Kwale County and Kwale Water and Sewerage Company (KWAWASCO)  Taita Taveta county and Taita Taveta Water and Sewerage Company (TAVEVO)  Kilifi county and Kilifi Mariakani and Malindi water and sewerage companies (KIMAWASCO and MAWASCO) Component Coast Water Services Board 74 1.2 Component 2  Wajir county and Wajir Water and Sewerage Company  Garissa county and Garissa Water and Sewerage Company Component 3  Various counties and their WSPs. The Counties and their WSPs will only be known when WASREB has selected the investments. The selection will be done for annual programs, so the participating Counties and WSPs will change during the project implementation period. including  WSBs can also apply to WASREB for financing inter county infrastructure. Therefore, it is also possible that a WSB might become an implementing agency under this component.  WaSREB will be an implementing activities related to the development and implementation of the program, but will not be engaged in any implementation of infrastructure. Component 4  MWI The implementing agencies will prepare project specific Resettlement Action Plans (RAPs) (through consultants) and all other safeguards instruments for identified investments during the feasibility study phase of the project following detailed screening. These reports will be submitted to the World Bank’s implementation support and review missions. INSTITUTIONAL ROLES FOR RAPS PREPARATION AND IMPLMENTATION UNDER WSDP Resettlement implementation under WSDP, will be done at three levels namely National – Ministry of Water and Irrigation, Implementing agencies and National Land Commission; at the County level, County Land Office; and then at the grassroots level, Locational Resettlement and Compensation Committee. Ministry of Water and Irrigation (MOWI) The main agency involved in implementation of the RPF will be the Ministry of Water and Irrigation (MOWI), as an overall implementing agency, it will have overall responsibility for the implementation of WSDP and will act as the central agency responsible for holding all information relevant to the RPF and subsequent RAPs. MOWI shall have the responsibility of mobilization of financial resources from Government/ County Governments for resettlement and compensation purposes of specific approved RAP. MOWI will provide these resources to the National Land Commission to undertake the compensation. Project Coordination Team (PCT) The PCT will be set up under the WSDP and its role will be the day-to-day coordination of the WSDP investment pipeline, screening of projects and keeping records of the implementation of WSDP project. To assist implementing agencies, the PCT, will be staffed with a social safeguards specialist on part-time basis. The first role of the PCT WSDP Resettlement Policy Framework- RPF 75 with regards to the preparation of the RAPs will be to screen all sub projects to be funded by the WSDP and to determine if they need to prepare a RAP. The necessary screening will be done through a clear outline screening procedure as outlined in Figure 1 of this RPF. Once a proposed project is accepted to be funded under the WSDP, the PCT will prepare the TOR before it is used to hire the consultant to prepare the RAP. Once the RAP is prepared, the PCT will review the RAP for consistency of such document with RPF under all WSDP financed projects. As part of this review, it will collect all the needed information and documentation on the RAP implementation. Even though NLC and implementing agencies are responsible for direct implementation of RAP, all the RAP information prepared will be passed to the PCT for review, documentation and filing. Individual Implementing agencies/ Counties/ WSPs Each implementing agency for a given investment is in charge of preparation and implementation of the RAP in consultation with MOWI/PCT. For example, the first investment under WSDP, CWSB will be the implementing agency in charge of implementation for coastal region bulk water supply project. The specific responsibilities include: together with MOWI/PCT contracting of the RAP consultant and overseeing the consultant’s work; seeking budget from MOWI/PCT to provide to NLC for compensation; establishing SCRCC and LRCCs operations; ensuring the grievance committees are established and working; working with the NLC to establish the SCRCC and LRCCs; collecting all the needed documentation for compensation as well as grievances and compiling them; and monitoring of the RAP implementation. National Land Commission (NLC)62 The National Land Commission (NLC) is the legal agency under the new constitutional dispensation responsible for compulsory acquisition of private land for public development by national government and county governments. NLC is governed by National Land Commission Act 2012, which stipulates one of its roles as that of compulsory acquiring land for national government and county governments’ development projects among other roles. Key roles of NLC in the implementation of this RPF and subsequent RAPs under WSDP will include: provide approval to request made by implementing agency under WSDP to acquire land; receive budget for compensations; undertake their own valuation before compensation; notifies landholders in writing of the intention to acquire land; assist in resolving disputes related to compensation; undertake public consultation on intended acquisition with the help of SCRCC; receive money from MOWI for actual payment of entitlement awards to PAPs. Sub-County Resettlement and Compensation Committees (SCRCC) Apart from County Land Management Boards, NLC does not yet have devolved structures with assigned responsibilities for compulsory acquisition on the ground and hence for the purposes of efficient implementation of the WSDP RAPs; this RPF proposes the constitution of ad hoc SCRCCs for each sub project at the Sub-County level 62 National Land Commission is established by National Land Commission Act 2012 and Chapter 8 of Land Act 2012 outlines its specific role in compulsory acquisition process. WSDP Resettlement Policy Framework- RPF 76 where WSDP will be implemented. These structure are not official but have within it members Government staff in charge of relevant Ministries related to resettlement and land acquisition. Depending on how NLC establishes her new cascading institutions in the counties, this RPF will be updated accordingly. For purposes of this RPF, SCRCC will help NLC carry out its mandate efficiently- particularly ensuring effective communication of NLC with the affected communities. The implementing agency in consultation with NLC will put in place SCRCC. The members to SCRCC will include representation from the following agencies and entities  Representative of NLC, as the chair of SCRCC to grant legitimacy to the acquisition and resettlement process and ensure that legal procedures as outlined in Land Act 2012 and binding document of the RPF are adhered to.  Representative of the implementing agency as the acquiring institution interested in the ‘settled’ land and benefiting from the acquisition and resettlement process.  The County administration representative, which will provide the much needed community mobilization, and political support to the project and to the process of resettlement  Sub-County Land Survey Officer to help with survey works and demarcation of land to be acquired.  The Sub-County Gender and Social Development Officer which will be responsible for livelihood restoration programs.  The Sub-County Lands Registrar Office will help with validation and verification of the documentation provided by the affected persons.  Two PAP representative from Location Resettlement Committee – act as voice for the PAPs  NGOs and CBOs locally active in relevant fields to ensure effectiveness, fairness, just compensation, and transparent process in the whole acquisition process. The SCRCC will have the following specific responsibilities:  Ensuring effective flow of information between NLC and PAPs  Coordinate Locational Resettlement and Compensation Committees (LRCCs), validate inventories of PAPs and affected assets; monitor the disbursement of compensation funds; guide and monitor the implementation of relocation  Coordinate activities between the various organizations involved in relocation; facilitate grievance and conflict resolution; and provide support and assistance to vulnerable groups.  Conducting extensive public awareness and consultations with the affected people so that they can air their concerns, interests and grievances.  Resolving disputes that may arise relating to resettlement process. If it is unable to resolve any such problems, will channel them through the appropriate formal grievance procedures laid out in this RAP.  Assist with the livelihood restoration WSDP Resettlement Policy Framework- RPF 77 Locational Resettlement and Compensation Committee (LRCC) Since Sub-County are fairly large, further decentralized resettlement unit will be formed at the locational level of the project area of a particular WSDP investment. Subsequently, Locational Resettlement and Compensation Committees (LRCCs), based in each administrative location will be established. The LRCCs will be constituted by implementing agencies and SCRCC through PAPs consultative meetings and will act as the voice of the PAPs. The LRCCs will work under guidance and coordination of SCRCC and implementing agencies. LRCCs will be formed two to three weeks after the formation of the SCRCC. Their membership will comprise of the following:  The locational Chief, who is the Government administrative representative at the locational unit and who deals with community disputes will represent the Government in LRCC  Asistant Chiefs, who supports the locational Chief and Government in managing local community disputes in village units will form membership of the team.  Female PAP, elected by women PAPs, will represent women and children related issues as regards resettlement and compensations  Youth representative, elected by youths, will represent youth related concerns in the LRCCs  Vulnerable persons representative, will deal and represent vulnerable persons issues in the LRCC.  Business representative, will represent business people concerns in LRCC  CBO representatives Membership of LRCCs will be elected by each category of PAPs except the locational Chief and assistant chiefs who will automatic be members of the team by virtue of their positions. Each of LRCCs will elect their own chairperson and a secretary among themselves. The roles of LRCCs will include among others the following:  Conducting extensive public awareness and consultations with the affected people.  Help ensure that local concerns raised by PAPs as regards resettlement and compensation among others are promptly addressed by relevant authorities.  Assist the effective working of RAP consultants in preparation and validation of the RAP  Resolve manageable disputes that may arise relating to resettlement and compensation process. If it is unable to resolve, help refer such grievances to the SCRCC.  Ensure that the concerns of vulnerable persons such as the disabled, widowed women, orphaned children affected by the project are addressed and included in the RAP. WSDP Resettlement Policy Framework- RPF 78 10. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT IMPLEMENTATION TO CIVIL WORKS Before any sub project investment is implemented, PAPs will need to be fully compensated by NLC in accordance with the RAPs. For activities involving land acquisition or loss, denial or restriction to access, it is further required that these measures include provision of compensation and of other assistance required for relocation prior to displacement and preparation of resettlement sites with adequate facilities, where required. Taking of land and related assets may take place only after compensation has been paid and where applicable, resettlement sites and moving allowances have been provided to displaced persons. For project activities requiring relocation or loss of shelter, the policy further requires that measures to assist the displaced persons are implemented in accordance with the RPF and individual RAPs. The schedule for the implementation of activities related to specific RAPs, will be prepared based on the principles of this RPF, and must be agreed between the NLC, implementing agency, MOWI, SCRCCs and affected PAPs to give legitimacy to the whole process as outlined in the law. These will include the target dates for start and completion of civil works, the dates of the possession of land that PAPs are using, dates of the full compensation, dates of transfer of titles to NLC, and date of hand over of land to implementing agency. This schedule will be agreed upon by the implementing agency, NLC, SCRCC, and the PAPs. The consultation process will ensure that RAPs contains acceptable measures agreed upon among all stakeholders that link resettlement activity to civil works under each specific investment in compliance with this policy. The timing mechanism of these measures will ensure that no individual or affected household would be displaced (economically or physically) due to civil works activity before compensation is paid and resettlement sites with adequate facilities are prepared and provided for to the individual or homestead affected. Once the RAP completed by the consultant, the individual RAPs will be sent to the WSDP/PCT and the World Bank for final review and approval. IMPLEMENTATION SCHEDULE Given the nature of WSDP, preparing an implementing schedule at moment is not possible. Each investment once identified and screened, if required, will prepare an individual implementation schedule together with PCT which will be included in the RAP for that investment. Therefore all RAPs will include an implementation schedule for each activity covering initial baseline and preparation, actual relocation, and post relocation economic and social activities. The plan will include a target date when the expected benefits for resettled persons and hosts community, if relevant, would be achieved. Arrangements for monitoring of implementation of the resettlement and WSDP Resettlement Policy Framework- RPF 79 evaluating its impact will be developed during the preparation of individual RAPs implementation schedules. The principles for preparation of monitoring and evaluation are discussed in Chapter 14, Monitoring and Evaluation. Target dates for achievement of expected benefits to resettled persons and hosts will be set and the various forms of assistance to the resettled persons will be disseminated to them. Planning and coordination of the tasks of the various actors involved in the RAP implementation will be key to successful RAPs implementation. To achieve this, workshops will be organized with the stakeholders and other relevant government agencies, at individual project launching and at the commencement of every project investment identified to have adverse social impacts. The workshops will focus on (i) taking stock of the legal framework for compensation, (ii) settling institutional arrangements and mechanisms for payment of compensation, (iii) defining tasks and responsibilities of each stakeholder and (iv) establishing a work plan all in accordance to individual tasks in RAP (v) adherence to principles of RPF The stakeholders will be requested to participate in the decision making process and provide inputs in the area of their expertise in order to establish a coherent work plan or schedule. WSDP Resettlement Policy Framework- RPF 80 11. GRIEVANCES REDRESS MECHANISMS Grievance procedures are required to ensure that PAPs are able to lodge complaints or concerns, without cost, and with the assurance of a timely and satisfactory resolution of the issue. The procedures should also ensure that the entitlements are effectively transferred to the intended beneficiaries. PAPs will be informed of the intention to implement the grievance mechanism, and the procedures will be communicated at the time of the preparation of investments’ specific RAPs. Under WSDP, grievances may arise from members of communities who are dissatisfied with (i) the eligibility criteria; (ii) valuation of assets and compensation, or (iii) actual implementation of RAPs, among others. This chapter sets out the measures to be used to manage grievances. Overview A key element of resettlement activities will be the development and implementation of a grievance mechanism in all WSDP investments. Grievances will be actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear time schedule will be defined for resolving grievances under each investment, ensuring that they are addressed in an appropriate and timely manner. The grievance procedure will be simple and will be administered as far as possible, at the project level by the Sub-County Resettlement and Compensation Committee (SCRCC). SCRCC will be established at the Sub-County level for each investment under the WSDP which involves land acquisition and impact on assets. However, the SCRCC will be different in size depending on the level of impact and specific circumstances of each WSDP investment but at the minimum will include a representative of the NLC, implementing agency, Sub-County or county administration, representative of the PAPs, Sub-County land registrar, an active NGO in the area, and Sub-County social gender development officer. Cascading down, there will be Locational Resettlement and Compensation Committees (LRCCs) based in each administrative location. It will be established by SCRCC through PAPs consultative meetings chaired the representative of implementing agency. S/he will be assisted by the locational chief, who is the government local representative at the location. LRCC will act as the voice of the PAPs and will work under guidance and coordination of SCRCC in handling PAPs’ grievances. The grievance procedure outlined in this RPF will not replace existing dispute and grievance redress in legal system in the country, which PAPs will be persuaded to use an option of last resort if they feel dissatisfied. Based on consensus, the procedures will seek to resolve issues quickly in order to expedite the receipt of entitlements, without resorting to expensive and time-consuming WSDP Resettlement Policy Framework- RPF 81 legal actions that may delay the implementation of a project. If the grievance procedure fails to provide a result, complainants can still seek legal redress. The overall process of grievance management will be as follows:-  During the initial stages of the valuation process, the affected persons will be given copies of grievance procedures as a guide on how to handle the grievances. This will include who to contact (a phone number, address and location, time) as well as type of grievances they can refer to this committee.  The process of grievance redress will start with registration of the grievances to be addressed for reference at the locational level through LRCC. In all instances, records will be kept to enable progress updates of the cases.  Traditional local mechanisms will be used and will include local leaders and the affected persons trying to find a solution with the concerned parties.  In cases where a solution cannot be found at the locational or LRCC level reference will be made to the SCRCC.  These will ensure transparency, fairness, consensus building across cases, eliminate nuisance claims and satisfy legitimate claimants at low cost.  The response time will depend on the issue to be addressed but all measures will be put in place to ensure efficiency,  Once the grievance is addressed and agreement reached, the compensation will be paid to the PAPs. Should a PAP refuse the compensation suggested, the individual PAP has the right to take his/her case to the civil court for litigation. GRIEVANCE REDRESS PROCESS As noted earlier, grievance redress will be the functions of the LRCC and SCRCC committees. All the grievances will be channeled to Locational Resettlement and Compensation Committee. A grievance log will be established by SCRCC and copies of the records kept by both LRCC and SCRCC to be used for monitoring of complaints. The grievance redress mechanisms will be designed with the objective of solving disputes at the earliest possible time which will be in the interest of all parties concerned and therefore implicitly discourages referring such matters to the law courts for resolution which would otherwise take a considerably longer time. If LRCC cannot adequately address the grievance, then reference will be made to SCRCC who shall strive to address the grievances raised. If a complaint pattern emerges, the implementing agency, SCRCC, and LRCC will discuss possible remedial measures. The above institutions will be required to give advice concerning the need for revisions of procedures. Once they agree on necessary and appropriate changes, then a written description of the changed process will be made. Implementing agencies, SCRCCs, LRCCs and the local leaders will be responsible for communicating any changes to future potential PAPs when the consultation process with them begins. WSDP Resettlement Policy Framework- RPF 82 Procedures for grievance management The procedure for managing grievances under all WSDP investments will be as follows: The affected person will file his/ her grievance, relating to any issue associated with the resettlement process or compensation, in writing to the project LRCC. The grievance note should be signed and dated by the aggrieved person. A selected member of the Committee will act as the Project Liaison Officer (PLO) who will be the direct liaison with PAPs. The PLO will be working in collaboration with the other LRCCs and SCRCC, and will be a member an independent NGO in the locality to ensure transparency and fairness in the process grievance address. Where the affected person is unable to write, the PLO will write the note on the aggrieved person’s behalf. Any informal grievances will also be documented by the Project Liaison officer. The note should be embossed with aggrieved person’s signature or thumbprint. A sample grievance form is provided in Annex 5. A copy of this completed form should be submitted by the Project Liaison Officer to SCRCC. 1) The Project Liaison Officer and the project LRCC will consult to determine the validity of claims. If valid, the Committee will notify the complainant that s/he will be assisted and a response will be given in the due time. 2) The project LRCC will meet and respond within 14 days during which time any meetings and discussions to be held with the aggrieved person will be conducted. If the grievance relates to valuation of assets, a second or even a third valuation will be undertaken, at the approval of SCRCC until it is accepted by both parties. These should be undertaken by separate independent valuers than the person who carried out the initial valuation. The more valuations that are required to achieve an agreement by both parties, the longer the process will take. In this case, the aggrieved person must be notified by the Project Liaison Officer that his/her complaint is being considered. 3) If the complainant’s claim is rejected by the Committees, the Project Liaison Officer will assist the aggrieved person to take the matter to the SCRCC. The SCRCC will look at the complaint raised by the PAPs and provide direction, explanation and a response. Sometimes, it will necessitate the aggrieved person to present him or herself to SCRCC to explain him/herself. All efforts will be made to try and reach some consensus with the complainant. 4) If the aggrieved person does not receive a response or is not satisfied with the outcome by SCRCC within the agreed time, s/he may lodge his/her grievance to the Sub-County Land Office, also mandated to help resolve such matters). If requested, or deemed necessary by the project Committee, the Project Liaison Officer will assist the aggrieved person in this matter. WSDP Resettlement Policy Framework- RPF 83 5) Where the matters cannot be resolved through local routes, the grievance will be referred to courts. The SCRCC will provide assistance at all stages to the aggrieved person to facilitate resolution of their complaint and ensure that the matter is addressed in the optimal way possible. Grievance Log The Project Liaison officer will ensure that each complaint has an individual reference number, and is appropriately tracked and recorded actions are completed. The log also contains a record of the person responsible for an individual complaint, and records dates for the following events:  Date the complaint was reported;  Date the grievance log was uploaded onto the project database;  Date information on proposed corrective action sent to complainant (if appropriate);  The date the complaint was closed out; and  Date response was sent to complainant.  Nature and type of grievances being raised Monitoring Complaints The Project Liaison Officer will be responsible for:  Providing the project SCRCC with a weekly report detailing the number and status of complaints;  Any outstanding issues to be addressed; and  Monthly reports, including analysis of the type of complaints, levels of complaints, and actions to reduce complaints. Management of Grievances in the Kenya Land Laws The current Kenyan constitution section 159, Land and Environmental Court Act 2011, National Land Commission Act 2012 and Land Act 2012 advocates for alternative dispute resolution mechanisms before seeking formal legal redress in disputes relating to land and resettlement. ADR is non-adversarial, inexpensive and less time consuming mechanism of dealing with disputes. Where legacy issues will arise in course of the implementation of the WSDP investment, the PCT will raise the National Land Commission who are constitutionally tasked to deal with historical land injustices. WSDP Resettlement Policy Framework- RPF 84 12. RPF IMPLEMENTATION BUDGET The actual cost of resettlement and compensation for each WSDP investment will be determined during each socio-economic study for the preparation of the individual RAPs. The Government of Kenya will finance all the resettlement compensations cost because they are the party that would be impacting livelihoods. The total cost of resettlement under WSDP will depend on the number of investments made. At this stage, it is not possible to estimate the exact number of people who may be affected under WSDP project since the technical designs and details of all investments have not yet been finalized. It is therefore not possible to provide an estimated budget for the total cost of resettlement that may be associated with WSDP implementation. However, when these locations are known, and after the conclusion of the site specific socio-economic study, information on specific impacts, individual and household incomes and numbers of affected people and other demographic data will be available, a detailed and accurate budgets for each RAP will be prepared. Each RAP will include a detailed budget, using the following template thus facilitating the preparation of a detailed and accurate budget for resettlement and compensation. PCT together with the relevant implementing agency for a given investment will prepare the resettlement budget, which will be financed by the Government of Kenya through the Ministry of Finance. At this stage all that can be reasonably and meaningfully prepared is an indicative budget, highlighting key features the budget must contain, inter alia, as follows; Table 6. Illustrative Budget Template for the RAP Asset acquisition Amount or number Total estimated cost Agency responsible Land Structure crops and economic tress Community infrastructure Land Acquisition and Preparation Land, structure, Crops areas and others Community infrastructure Relocations Transfer of possessions Installation costs Economic Rehabilitation Livelihoods restoration Training Capital Investments Technical Assistance NGO support Monitoring Contingency WSDP Resettlement Policy Framework- RPF 85 Table 7: Explanation of Assumptions on Indicative Budget # Item Costs (in KSHS)* Assumptions 1 Compensation for loss of For land acquisition purposes, based on cost Land /hectare realized in projects involving similar issues in Kenya. 2 Compensation for loss of Includes costs of labour invested and average Crops /hectare of farm lost of highest price of staple food crops as per methods described in this RPF. 3 Compensation for loss of Those affected would be provided with access to pastoralists shared access, or alternate routes ( decision N/a agreed through consultation and participation of all) 4 Compensation for loss of Data provided from revised socio-economic access to fishing resources. /fishmonger study will determine market values of catch, fish products etc. that is produced. 5 Compensation for other Livelihood restoration program livelihoods affected such as gathering medical herbs and plants from the forest, small n/a production such as bee keeper loss of labour income for those dependent on the land taken 6 Compensation for Buildings This compensation would be in-kind. These and Structures new buildings would be built and then given to those affected. Cost based on basic housing needs for a family of ten, including house with four bedrooms, ventilated pit latrines, outside kitchen and storage. 7 Compensation for Trees Based on methods described in this RPF for /year/tree compensation for trees. 8 Cost of Relocation This cost is to facilitate transportation, etc. /household Assistance/Expenses 9 Cost of Restoration of Assumed to be higher than the GDP/capita. Say Individual Income 10 Cost of Restoration of Through employment in Program Activities. Say Household Income 11 Cost of Training Farmers , This is a mitigation measure which seeks to pastoralists and other PAPs involve those affected by the project activities. This figure represents a costs of around Ksh/person 12 NGO support Administrative support to undertake Number/years livelihood restoration or monitoring and evaluation of RAPs implementation Cost of restoration of Assumed to be higher than the GPP/capita /year/ livelihood for vulnerable For the RPF implementation, the following is an indicative budget items may needed. Table 8: Indicative Budget for the Next 5 years Indicative Budgetary Item No. Unit cost (USD$) Total cost (USD$ 1. Stakeholders trainings/ consultation 563 2,000,000 10,000,000 forums on RPF 63 In the first 5 years, at least 5 meetings are envisaged for stakeholders involved in resettlement and compensation for KWSCRP. They will be organized at cost of US$100,000 per meeting to update and share lessons learnt in the implementation of the RPF WSDP Resettlement Policy Framework- RPF 86 2. Monitoring and evaluation exercises 564 800,000 4,000,000 on the implementation of RAPs under WSDP 3. Evaluation of Livelihood 5 500,000 2,500,000 empowerment programs under WSDP65 4. WSDP RAP training manual66/ 10 2, 500,000 25,000,000 RAP Trainings 5. Annual RPF audit 10 1,000,00067 10,000,000 6. 20% contingency - - 10,300,000 Total 61,800,000 Table 9: Assumptions for the RPF Budget line Item Justification Stakeholders trainings for GoK WSDP Implementing agencies and other GoK legal institutions institutions that will be involved in charged with compulsory acquisition will need to be taken through the implementation of RAPs under the principles of this RPF. At the moment we cannot tell the WSDP number of meetings that may be needed. However, in the next 5 years we foresee at least one meeting every year. The RPF will be adjusted accordingly depending on the need and changes occasioned by current constitutional reforms. Monitoring and Evaluation of RAPs To ensure compliance to the principles of RPF, it is expected that under WSDP the WSDP/PCT will carry out 5 independent studies assessing implemented RAP compliance with RPF principles of various WSDP projects in the implementation of the RAPs. Since WSDP is an investment framework, we foresee at least 5 projects approved under WSDP framework in the next 4 years. The M and E studies will help with the review and subsequent adjustments of the RPF. Evaluation of livelihood programs As part of economic rehabilitation, WSDP/PCT will assess under WSDP effectiveness of economic rehabilitation of RAPs implemented under WSDP to ensure lesson learning and improvement of effectiveness of such programs over time. Development of RPF – RAP There will be need to develop a RAP implementation manual that implementation manual is line with RPF principles building on lessons learnt. RPF Annual Audit In view of the dynamism of the on-going reforms, the WSDP PCT shall organize at least one annual audit meeting for RPF Audit and 3 with NLC to review the compulsory acquisition procedures in line with lessons learnt built from previous resettlement program. 20% contingency Shall support unforeseen contingencies in the implementation of this RPF. 64 To ensure compliance to the principles of RPF, it is expected that the PMU will recruit consultants to carry out 10 independent studies assessing compliance of the implemented KWSCRP RAPs with RPF principles. 65 As part of economic rehabilitation, PMU will assess effectiveness of economic rehabilitation of RAPs under KWSCRP to ensure lesson learning and improvement. 66 A consultant will be recruited to prepare a RAP training manual for easier implementation of the KWSCRP RAPs 67 An annual audit will be carried out with the engagement of the stakeholder. The amount is the cost of the each audit meetings WSDP Resettlement Policy Framework- RPF 87 13. MECHANISMS FOR CONSULTATIONS AND PARTICIPATION OF DISPLACED PERSONS IN PLANNING, IMPLEMENTATION AND MONITORING Public consultations and participation are essential because they afford potential PAPs the opportunity to contribute to both the design and implementation of the project activities and reduce the likelihood for conflicts between and among PAPs and implementing agencies. The way land administration is undertaken in Kenya today is based on long standing a traditional and cultural practice that makes public consultations with the rural communities, indispensable. Effective and close consultations with PAPs is a pre-requisite for project success. In recognition of this, particular attention will be paid to public consultations with project affected individuals/households/homesteads when resettlement and compensation concerns are involved. Public consultations will take place at the inception of the planning stages of WSDP when the potential land areas are being considered. The participation strategy will evolve around the provision of a full opportunity for involvement. Therefore, as a matter of strategy, public consultations will be an on-going activity taking place throughout the entire project cycle. Public participation and consultations will take place through meetings, radio programs, request for written proposals/comments, filling in of questionnaires/ application forms, public readings and explanations of project ideas and requirements, making public documents available at the national, local and homestead levels at suitable locations like the official residences/offices of local chiefs/elders. These measures will take into account the low literacy levels prevalent in these rural communities in Kenya by allowing enough time for responses and feedback. Notwithstanding, the best guarantor for public interest are the traditional and other local leaders who are responsible members of their local communities and can inadvertently be part of the potentially displaced (economically or physically) individuals/households either in part or in whole. Particular attention will be given to vulnerable groups such as the landless, and women to ensure that they are represented adequately in such arrangements. Conflicts between hosts and resettled persons may develop as increased demands are placed on land, water, forests, services etc. To mitigate the resettlement’s impact on host populations, they will be informed and consulted and included in the planning meetings WSDP Resettlement Policy Framework- RPF 88 for the resettlement exercise of affected person and impact mitigation plan for the expansion of services. Any payments due to the hosts for land or other assets provided to resettled persons will be promptly made. Objectives of WSDP Consultations with PAPs Specific objectives of the engagement process on WSDP project will be as follows:  To share fully WSDP information about the social-economic and environmental impacts of the project with the PAPs;  To obtain information about the needs and priorities of the PAPs, as well as information about their reactions to proposed policies and activities;  To inform PAPs about various options for livelihood restoration;  To obtain the cooperation and participation of PAPs and related communities in activities required to be undertaken for RAP planning and implementation;  To discuss compensation rates and eligibility entitlement;  To discuss choice of alternative location of farmland;  To ensure transparency in all activities related to land acquisition, compensation and rehabilitation;  To establish a clear, easily accessible and effective complaints and grievance procedure; and  To establish mechanisms for monitoring and evaluation and for implementing corrective actions. Consultation Process With PAPS Three steps of information and consultation are being implemented:  Initial information: Basic information will be provided to potentially affected people on the WSDP project. This step took the form of public meetings;  External stakeholder consultation: Other key stakeholders such as National Administration, NEMA, traditional authorities, local political leaders, County officials and the County Land Board have been consulted for their views, concerns and suggestions regarding RAP; and  Consultation on draft RAP: once the RAP is available in draft form, it should be discussed with project-affected persons, SRCC, LRCC Committee members and other relevant stakeholders whose comments shall be incorporated into final document.  Disclosure: The RAP will then be disclosed on MOWI and relevant County websites for comments. SCRCC and LRCC are expected to play an important role in the consultation process. They will be in close contact with the affected communities and in continuous communication with them about the WSDP projects, their impacts, resettlement and compensation processes, grievances management, among other things. They will also be the ones communicating the cut-off date and other project related issues to the PAPs. WSDP Resettlement Policy Framework- RPF 89 CONSULTATIONS ON THE RPF Public consultations on this RPF were held in the month of January 2017 with stakeholders from the focus 6 WSDP focus counties - Wajir, Garissa, Kwale, Mombasa, Kilifi, and Taita Taveta to discuss the contents of this RPF. The table below show that number of participants in each county that attended consultation meetings and issues discussed. Specific details of the consultations are captured in Annex 9, Annex 10, and Annex 11 (attached). County No. of Participants Issues Raised 1. Wajir, Hilton 75 Procedures & Principles of resettlements Hotel Nature of WSDP program Merti Waters and international waters policy Compensation of community land 2. Garissa, Nomad 37 Procedures & principles of resettlements Hotel Nature and components of WSDP program Merti Waters and international waters policy Daadab camp water supply issues Support of Garissa Water and Sanitation company. Compensation of community land Indigenous communities 3 Kwale, Leopard 20 Procedures & principles of resettlements Beach Hotel Nature and components of WSDP program Indigenous & vulnerable communities Grievance structures Support of WSPs in Kwale Compensation procedures of affected land 4 Mombasa, Sai 37 Procedures & principles of resettlements Rock Hotel Nature and components of WSDP program Vulnerable communities Grievance structures Support of WSPs Non-Revenue water Compensation procedures of affected land 5 Taita Taveta, 42 Procedures & principles of resettlements Tsavo Camps and Nature and components of WSDP program Lodges Hotel Grievance structures Support of WSPs Compensation procedures of affected land 6 Kilifi, North 21 Procedures & principles of resettlements Coast Beach Nature and components of WSDP program Hotel Access structures Squatters and Absentee land lords Indigenous & vulnerable communities Grievance structures SRCC, LRCC Support of WSPs Urban sanitation support Compensation procedures of affected land WSDP Resettlement Policy Framework- RPF 90 DATA COLLECTING PHASE During the preparation of WSDP RAPs, preliminary public consultations and socio- economic survey study will be undertaken. It will involve active participation of the all PAPs in provision of preliminary data. PAPs will be important information providers, enabling accurate and effective data. Information about proposed project will also be explained to PAPs in the local language that they understand. Besides, PAPs will be given platform to ask questions about the project, identify impact of the proposed WSDP projects, suggest mitigation measures and alternatives to be considered in the technical design that limit impacts. The RAP preparation consultant will also labour to provide rationale for data collection, discuss data with PAPs and give PAPs feedback on the collected data. DISCLOSURE OF RPF/ WSDP Public disclosure of the WSDP RAPs will be made to PAPs and other stakeholders for review and comments on entitlement matrix and other issues in the implementation of the RAP. The purpose of the disclosure will be to receive comments and suggestions from PAPs and incorporate appropriate suggestions. The WSDP RAPs will be disclosed in a form, manner and language comprehensible to PAPs and at a place accessible to the displaced population and other stakeholders for review and comments on entitlement measures. Except for the Entitlement Matrix, other sections of the RAP will be disclosed. MOWI will disclose and post any WSDP RAP in its websites and receive comments. Comments and critiques made on any WSDP RAP by PAPs and other stakeholders will be taken by MOWI for consideration. MOWI will also conduct a half day workshop in the project area counties for the PAPs, stakeholders, representatives of civil societies, local leaders with the objective of disclosing project specific RAP. The public disclosure of any RAP will be made in Swahili and English languages. This could be done through the Chief office; depositing / posting it in a range of publicly accessible places such as, Ward Administrator or Sub-County offices. This RAP also will be disclosed for input from civil societies, academics and other professionals as well. IMPLEMENTATION OPERATION During implementation, the PAPs will be informed about their rights and options, at which point they will air their views. Cash compensation amount and size of land offered for compensation will be presented to each eligible PAPs for consideration and endorsement before cash payment or land compensation can be effected. MONITORING AND EVALUATION PHASE The PAPs representatives will participate in the project completion workshops, to give their evaluation of the impacts of the project. They will also suggest corrective measures, which may be used to improve implementation of other WSDP supported projects. After completion of all expropriation/compensation operations, the PAPs will be consulted in a household survey to be undertaken as a monitoring and evaluation exercise. WSDP Resettlement Policy Framework- RPF 91 14. ARRANGEMENTS FOR MONITORING AND EVALUATION This chapter sets out requirements for the monitoring of the implementation of the RAPs which will be prepared in accordance to this RPF. Overview The arrangements for monitoring will fit the overall monitoring plan of the entire WSDP, which will be through the Ministry of Water and Irrigation and PCT. All RAPs will set major socio-economic goals by which to evaluate their success which will include (i) affected individuals, households, and communities being able to maintain their pre- project standard of living, and even improve on it, (ii) the local communities remaining supportive of the project and (iii) the absence or prevalence of conflicts (iv) project affected persons reporting satisfaction with the resettlement operation. In order to assess whether these goals are met, RAPs will indicate parameters to be monitored, institute monitoring milestones and provide resources necessary to carry out the monitoring activities. The objective of the monitoring will be to determine;  If affected people are satisfied with the actual resettlement process.  If affected people have been paid in full, before implementation of any WSDP sub project that is causing resettlement.  If affected individuals, households, and communities have been able to maintain their pre-project standard of living, and even improve on it. The census and/or the socio-economic survey study which are the basis for the preparation of investment specific RAPs under the WSDP, will be used as the base line for the evaluation of the individual RAPs. INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE A number of indicators from the above studies will be used in order to determine the status of all affected people under WSDP sub projects.  Size of land being used compared to before,  Standard of house compared to before,  Status of income compared to before  Level of participation in project activities;  Access to water, access to schools and health centres as it was before the project  Status of vulnerable people compared to before Specific indicators may include the following, which would indicate a change:  Access/ distance/ quality of agricultural plots  Quality of, and access to, water  Number of people employed  Number of ‘vulnerable’ people WSDP Resettlement Policy Framework- RPF 92  Number of grievances and time taken to resolve them. If not resolved, what were the next steps  Status of income of the project affected persons  The local communities remaining supportive of the project.  The local communities reporting satisfaction with project resettlement Most of the information for these indicators will be collected through survey, interviews and focus group discussions with the affected communities. The data for these indicators will be collected every six months during the RAP implementation by the implementing agency, SCRCC and an independent NGO working in the area to ensure triangulation of data. LRCCs will also assist with collection of monitoring data of the RAPs implementation. The pre-project census information will provide most, if not all of the required information to set a baseline against which performance can be tracked. In addition to the existing baseline data, the following steps will be taken to ensure the proper monitoring of the RAPs:  Questionnaire data will be entered into a database for comparative analysis;  Each individual will have a compensation dossier recording his or her initial situation, all subsequent project use of assets/improvements, and compensation agreed upon and received;  SCRCC specifically the land’s office and Sub-County Social Development Officer will maintain a complete database on every individual impacted by the sub- project land use requirements.  Regular resettlement status reports submitted by the implementing agency will be reviewed. MONITORING OF RPF/RAP IMPLEMENTATION SCRCC will assist in compiling basic information related to compensation and send them to the implementing agency as part of the regular monitoring. Some of the information which will be collected at the SCRCC level will include: time to gauge the performance of the:-  Length of time from project identification to payment of compensation to PAPs;  Timing of compensation in relation to commencement of physical works;  Amount of compensation paid to each PAP household (if in cash), or the nature of compensation (if in kind);  Number of people raising grievances in relation to each project investment;  Number of unresolved grievances.  Number of vulnerable people assisted.  Number of livelihoods restored and types of the livelihood restoration The WSDP/PCT will review the statistics in order to determine whether the resettlement planning arrangements as set out in this RPF are being adhered to. The implementing agencies will directly monitor compensation as undertaken by NLC. WSDP Resettlement Policy Framework- RPF 93 Financial records will be maintained by NLC and implementing agency to permit calculation of the final cost of resettlement and compensation per individual or household and they will be included in the monitoring report. The statistics will also be provided to the external independent consultant/agency that will be contracted on an annual basis to monitor the implementation of the RAPs. WSDP Resettlement Policy Framework- RPF 94 ANNEXES ANNEX 1: GLOSSARY OF TERMS ANNEX 2: SAMPLE RESETTLEMENT SCREENING FORM ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM ANNEX 4: COMMUNITY ASSET AND INFRASTRUCTURE ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM ANNEX 6: TORS FOR DEVELOPING A RAP ANNEX 7: OUTLINE FOR THE RAP ANNEX 8: INVOLUNTARY RESETTLEMENT OP.4.12 ANNEX 9: MINUTES OF CONSULTATION ANNEX 10: SIGNED FORMS OF CONSULTATION ANNEX 11: PHOTOS OF PARTICIPANTS WSDP Resettlement Policy Framework- RPF 95 ANNEX 1: GLOSSARY OF TERMS DEFINITIONS Unless the context dictates otherwise, the following terms will have the following meanings: “Replacement cost for houses and other structures” means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures. Such costs will include: (a) transporting building materials to the construction site; (b) any labour and contractors’ fees; and (c) any registration costs. “Resettlement Assistance” means the measures to ensure that WSDP Affected Persons and Displaced Persons under various investments who may require to be physically relocated are provided with assistance during relocation, such as moving allowances, residential housing or rentals whichever is feasible and as required, for ease of resettlement. “The Resettlement Policy Framework (RPF)’ is an instrument to be used throughout the WSDP Program implementation. The RPF sets out the resettlement objectives and principles, organisational arrangements and funding mechanisms for any resettlement, that may be necessary during WSDP investments implementation. The RPF guides the preparation of Resettlement Action Plans of individual investments in order to meet the needs of the people who may be affected by the project. The Resettlement Action Plans (“RAPs”) for various investments under the WSDP will therefore be prepared in conformity with the provisions of this RPF. “Census” means a field survey carried out to identify and determine the number of Projected Affected Persons (PAP) or Displaced Persons (DPs) as a result of land acquisition and related impacts under various investments in the WSDP. The census provides the basic information necessary for determining eligibility for compensation, resettlement and other measures emanating from consultations with affected communities and the local government institutions (LGIs). “Cut-off date” is the date of commencement of the census of project affected persons, within various projects areas under WSDP, when those who will move to the area after the time of census will not be compensated. “Displaced Persons” mean persons who, for reasons due to involuntary acquisition or voluntary contribution of their land and other assets under the various investments in WSDP, will suffer direct economic and or social adverse impacts, regardless of whether or not the said Displaced Persons are physically relocated. These people may have their: standard of living adversely affected, whether or not the Displaced Person will move to another location ; lose right, title, interest in any houses, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood. “Involuntary Displacement” means the involuntary acquisition of land resulting in direct or indirect economic and social impacts caused by: Loss of benefits from use of such land; relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether the Displaced Persons has moved to another location or not. WSDP Resettlement Policy Framework- RPF 96 “Involuntary Land Acquisition” is when the project affected people need to be relocated or give up their rights to land and other assets as a result of development projects or other reasons which are beyond their control in this case the WSDP PAPs. “Land” refers to agricultural and/or non-agricultural land and any structures thereon whether temporary or permanent and which may be required for the WSDP. “Land acquisition” means the possession of or alienation of land, buildings or other assets thereon for purposes of the WSDP. Rehabilitation Assistance” means the provision of development assistance in addition to compensation such as land preparation, credit facilities, training, or job opportunities, needed to enable WSDP Program Affected Persons and Displaced Persons to improve their living standards, income earning capacity and production levels; or at least maintain them at pre- WSDP levels. Resettlement and Compensation Plan”, also known as a “Resettlement Action Plan (RAP)” or “Resettlement Plan” - is a resettlement instrument (document) to be prepared for each individual investment under WSDP which is prepared based on the principles of this RPF. In such cases, land acquisition leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. Individual RAPs are prepared by the agencies in charge of the development projects under the WSDP. RAPs contain specific and legal binding requirements to resettle and compensate the affected party before implementation of a given investment Under WSDP program activities commences. “Replacement cost” means replacement of assets with an amount sufficient to cover full cost of lost assets and related transaction costs. It includes expenses that a person will incur in order to replace his or her house or land (at market price) which could include taxes and moving allowance. In terms of land, this may be categorised as follows; (a) “Replacement cost for agricultural land” means the pre-WSDP or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the others costs of: (b) preparing the land to levels similar to those of the affected land; and (c) any registration and transfer taxes; Program Affected Person(s) (PAPs) are persons affected by land and other assets loss as a result of a number of projects under WaSSIP program. These person(s) are affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they will move to another location. “Compensation” means the payment in kind, cash or other assets given in exchange for the acquisition of land including fixed assets thereon as well as other impacts resulting from WSDP activities. WSDP Resettlement Policy Framework- RPF 97 ANNEX 2: SAMPLE RESETTLEMENT SCREENING FORM Project name: Project Location (Include map/sketch): (e.g. Sub-County, Division, Location, and Village etc.). Type of activity: (e.g. new construction, rehabilitation, periodic maintenance) Estimated Cost: (Kenyan Shillings) Proposed Date of Commencement of Work: Technical Drawing/Specifications Reviewed : (circle answer): Yes No This report is to be kept short and concise. 1. Site Selection: When considering the location of a project, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects. Issues Site Sensitivity Rating Low Medium High Low Medium High Low Medium High Involuntary Low population Medium population High population Resettlement density; dispersed density; mixed ownership density; major population; legal and land tenure. towns tenure is well- and villages; low defined. income families and/or illegal ownership of land; communal Properties. WSDP Resettlement Policy Framework- RPF 98 2. Checklist questions: Physical data: Yes/No answers and bullet lists preferred except where descriptive detail is essential. Site area in ha Extension of or changes to existing alignment Any existing property to transfer to sub-project Any plans for new construction Refer to project application for this information. Land and resettlement: Yes/No answers and bullet lists preferred except where descriptive detail is essential. Will the project involve loss of land and other resources? Will the project result into temporary or permanent loss of crops, household infrastructure like shelter, granaries or latrines? What is the likelihood of land purchase for the subproject? How will the proponent go about land purchase? What level or type of compensation is planned? Who will monitor actual payments? Refer to the Resettlement Policy Framework. Actions: List outstanding actions to be cleared before project appraisal. Approval/rejection Yes/No answers and bullet lists preferred except where descriptive detail is essential. Recommendations: Requires a RAP to be submitted on date: _________________________________ Does not require further studies Reviewer: _____________________________________________________________ Name: ________________________________________________________________ Signature: _____________________________________________________________ Date: _________________________________________________________________ WSDP Resettlement Policy Framework- RPF 99 ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM Socio-economic Household Datasheet of PAPs Name of Interviewer Signature ID Code Name of Supervisor (after verification of interview) ID Code Cell Name Number of Concession in Village ID Code (GPS Coordinates) Date: …………………………………… Day Month Year Name of Head of Extended Family : Number of Nuclear Families in Extended Residential Group (including household of head of extended family) WSDP Resettlement Policy Framework- RPF 100 Household Interview Name and Relationship Sex Place Age Marital Residence Ethnic Religion Educational Income Economic Activities Surname to of Status Tenure Group Level Earner Head of Birth Family M F Yes No Primary Secondary 1. 2. 3. 4. 5. 6. 7. Relation to Head of Family : 1 HoH; 2 Spouse of HoH ; 3 Child of HoH; 4 Spouse of child of HoH ; 5 Grandchild of HoH; 6 Parent of HoH; 7; 8 9 Other (specify) ; 0 No Answer. Marital Status : 1Married ; 2 Widowed ; 3 Divorced ; 4 Unmarried; 0 No Answer. Residential Status: 1 PRP (Permanent Resident) ; 2 RA (Resident absent) ; 3 Member of non-resident HH; 4 Visitor; 9 Other (specify) ; 0 No Answer. Occupations: - Principle Occupation: 1. Farmer ; 2 Shepherd; 3 Household ; 4 Merchant; 5 Religious leader, teacher ; 6 Artisan ; 7 Transport ; 8 Unemployed; 9 Other (specify) ; 0 No Answer Secondary Occupations: idem. Educational Level : 1 Illiterate ; 2 Three years or less; 3 Primary School ; 4 Secondary School ; 5 Technical School ; 6 Religious School; 0 No Answer Religion: 1 Christian (specify denomination) ; 2 Muslim ; 9 Other (specify) ; 0 No Answer Land asset inventory for Project Affected People Village: __________________________________________________ Date:________________________________ Cell: ____________________________________________________ Survey Name of No. of Total Land to Land Loss Loss of assets Loss of crops Loss of Other losses no. Head of Persons land be Use of % other Household in holding acquired Type * total assets household of (m2) Hhold (m2) Structures Structures Area of Fruit Agricultural Other e.g. Residence Business Income Permanent temporary residential trees land lost (specify) graveyards, (rented) lost loss WSDP Resettlement Policy Framework- RPF 101 (m2) (m2) land lost lost (m2) wells, etc. (m2) type (type and and no.) number * Land types are as follows (please fill in the types of land for Kenya) 1. 3. 2. 4. WSDP Resettlement Policy Framework- RPF 102 Entitlements of Project Affected People Location: _________________________________________ Date: ________________________________ Village: ___________________________________________ Survey Name of Compensation for Land Compensation for structures Compensation for crops and Compensation for other assets no. Head of Trees and losses (e.g.,, graveyards, Household wells, businesses, etc) Total (Ksh) Quantity Unit price Entitlement Quantity Unit price Entitlement Quantity Unit price Entitlement Quantity Unit price Entitlement (m2) (Ksh) per (Ksh) (m2) (Ksh) per (Ksh) (m2) (Ksh) per (Ksh) (m2) (Ksh) per (Ksh) m m m m WSDP Resettlement Policy Framework- RPF 103 ANNEX 4: COMMUNITY ASSETS AND INFRASTRUCTURE Complete one form for each community asset 1. Village/town/city 2. Location 3. Camera and Photograph Number 4. Type of structure or asset 01 School 08 Well 15 Water Supply 02 Clinic 09 Public Latrine 16 Sewerage 03 Church, Mosque or Temple 10 Public Laundry 17 Garbage Site/Dump 04 Shrine 11 Play ground 18 Fish Pond 05 Town Hall 12 Cemetery 20 Other 06 Meeting Hall 13 Electric If other(please Specify) 07 Well 14 Public Telephone 4. Name of structure 5. Formal owner of the structure 01 Sub-County Government 02 Community or Voluntary Organization 03 Private Individual 04 Other(please Specify) 6.Name and Address of owner (Please state name and address of responsible chairman or secretary if the structure is owned by a community organization or by government) 6. Plot Number 7. Telephone Number 8. Number of users of structure per month 9. Plot Dimensions MX M 10. Plot Area M2 11. Land value per m2 KES 12. Land Value (no.s 11x12 from Above KES 13. Estimate of building area M2 14. Building materials a. Floor b. Walls c. Roofs 1. Earthen 1. Earthen 1 1. Earthen 2 2Cement-plastered earthen walls 2. Cement-plastered earthen walls 2. Cement-plastered earthen walls 3 Straw or bamboo 3. Straw or bamboo 3. Straw or bamboo 4 Unbaked brick 4. Unbaked brick 4. Unbaked brick 5 Baked Brick 5. Baked Brick 5 Baked Brick 6 Cement block 6. Cement block 6 Cement block 7 Galvanized tin 7. Galvanized tin 7 Galvanized tin 8 Tile 8. Tile 8 Tile 9 Other (Specify) 9. Other (Specify) 9 Other (Specify) 15. Building Value per m2 M2 16. Building Value (no.s 14x16) WSDP Resettlement Policy Framework- RPF 104 Signature of owner of structure Print name (Block Capitals) Signature of Valuation Surveyor Print name (Block Capitals Date WSDP Resettlement Policy Framework- RPF 105 ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM Grievance Form Grievance Number Copies to forward to: Name of the Recorder (Original)-Receiver Party Sub-County (Copy)-Responsible Party Date INFORMATION ABOUT GRIEVANCE Define The Grievance: Forms of Receive INFORMATION ABOUT THE COMPLAINANT Name-Surname □Phone Line Telephone Number □ Community/ Information Meetings Address □ Mail Village □ Informal Sub-County □ Other Signature of Complainant DETAILS OF GRIEVANCE 1. Access to Land 2. Damage to 3. Damage to 4. Decrease or 5. Traffic and Resources Infrastructure or Loss of Accident Community Assets Livelihood a) Fishing grounds a) House a) Road/Railway a) Agriculture a) Injury b) Lands b) Land b) Bridge/ b) Animal b) Damage to c) Pasturelands c) Livestock Passageways husbandry property d) House d) Means of c)Power/Telephone c) Beekeeping c) Damage to e) Commercial site livelihood Lines d) Small scale livestock f) Other e) Other d) Water sources, trade d) Other canals e) Other and water infrastructure for irrigation and animals e) Drinking water f) Sewerage System g) Other 6. Incidents 7. Resettlement 8.Employment 9. Construction Camp 10. Other Regarding Process (Specify) and and Community (Specify) Expropriation and Recruitment Relations Compensation (Specify) a) Nuisance from dust (Specify) b) Nuisance from noise c) Vibrations due to explosions d) Misconduct of the project personal/worker e) Complaint follow up f) Other WSDP Resettlement Policy Framework- RPF 106 ANNEX 6: DRAFT TORS FOR THE DEVELOPMENT OF RESETTLEMENT ACTION PLAN (RAP) The scope and level of detail for the development of resettlement action plan will involve the following the following. a) Description of the investment/project under WSDP, project area and area of influence: Information presented in this section will include description of the project area showing location, sitting of plants, structures, lands, affected dwellings etc; WSDP objectives and strategy; the investment/project objectives; policy and legal framework; timeframe; geographical coverage; project strategic context and rationale. b) Potential Impacts: Description of investment/project components or activities which would trigger resettlement; the cultural, social, economic and environmental impacts envisioned; and the alternatives considered to avoid or minimize resettlement. c) Community Participation: This sub-section includes:-  Description of the consultation and participation of the displaced and host communities in design and implementation of resettlement activities including a summary of the views expressed and how these views were incorporated during the preparation of the resettlement plan.  A review of the resettlement alternatives identified and choices made by the displaced people, including choices related to forms of compensation and resettlement assistance, relocating as individual families or as part of pre-existing families and to retaining access to cultural property (e.g. cemeteries, places of worship etc)  Description of procedures for redress of grievances by affected people throughout the planning and implementation period.  Description of measures aimed at sensitizing and educating the affected and host communities on matters of resettlement. e) Integration with host communities  Arrangements for consultation with host communities and procedures for prompt payment to the host for land and other assets should be provided to the resettled persons.  Arrangements for resolving conflicts which may arise between the resettled persons.  Arrangements for resolving conflicts which may arise between the resettled persons and host communities should be put in place.  Appropriate measures to augment public services such as education, water, health in host communities in order to avoid disparities between resettled persons and the host communities should be put in place.  Plan for resettled persons should be integrated economically and socially into host communities so that adverse impacts to host communities are minimized. f) Socio-economic Studies These will include the following:- Population census of the project area including a description of production systems, household organization, baseline information on livelihoods and standards of living of the displaced population (and host communities) WSDP Resettlement Policy Framework- RPF 107  An inventory of assets of displaced households; the magnitude of the expected loss (total or partial for individual or group assets); and extent of physical and economic displacement;  Information on disadvantaged/vulnerable groups or persons for whom special provisions may have to be made. Such groups and persons include those living below the poverty line, the landless, the elderly, women, children, indigenous people, ethnic minorities and displaced persons who are not protected through national land compensation legislation. Resettlement involving vulnerable/disadvantaged groups/persons should be preceded by a social preparation phase to build their capacity to deal with issues of resettlement;  Provisions for updating information on the livelihood of displaced people and their standards of living at regular intervals;  Description of land tenure systems including common property and non-title based land ownership or allocation recognized locally and related issues;  Public infrastructure and social services that will be affected; and  Social and cultural characteristics of displaced and host communities. Appropriate patterns of social organization should be promoted and the existing social and cultural institutions of resettled persons and their host should be retained, supported and used to the extent possible. (g) Institutional arrangement and responsibilities This will be the same as the RPF (h) Eligibility Definition of displaced persons and criteria for compensation and other resettlement assistance including relevant cut off dates. The assurance should be given that lack of legal title should not bar affected persons form being compensated. (i) Valuation and Compensation for losses  The methodology to be employed for valuing losses in order to determine their replacement cost. This is a description of the levels of compensation under the local laws and supplementary measures aimed at determining replacement of cost for lost assets.  A description of the packages of compensation and other resettlement measures that will ensure that each category of eligible displaced persons get their fair compensation. In conformity with the World Bank Operational Policy (OP.4.12 of Dec 2001, updated February 2011), displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them to pre-displacement levels or to levels prevailing prior to the start of project implementation whichever is higher. (k) Identification of alternative sites, selection of resettlement site(s), site preparation and relocation WSDP Resettlement Policy Framework- RPF 108  Institutional and technical arrangements for identifying and preparing relocation sites for which a combination of productive potential, location advantages and other factors, should be at least comparable to ancillary resources.  Procedures for physical relocation including timetable for site preparation and land title transfer and description of resettlements sites.  Measures to prevent the influx of ineligible person (encroachers and squatters) into the selected sites such as the identification and recording of affected people at the project identification stages.  Legal arrangements for regularizing tenure and transferring titles to resettled persons. (l) Shelter, infrastructure and social services This sub-section provides details regarding plans to provide or finance housing, infrastructure (e.g. roads, water supply etc) and social services (schools, health services) and plans aimed at ensuring that services and any necessary site development to host. (m) Environmental protection: An assessment of possible environmental impacts of the proposed resettlement and measures to mitigate and manage the impacts. (n) Implementation Schedules An implementation schedule covering all resettlement activities from project preparation through implementation to monitoring and evaluation. The schedule should indicate dates for achievement of expected benefits to resettled persons and hosts and dates for terminating the various forms of assistance. (o) Costs and Budget The breakdown of cost estimates for all resettlement activities including allowances for inflation and other contingencies, timetable for expenditures, sources of funds and arrangements for timely disbursement of funds. (p) Monitoring and evaluation Under this sub-section, information regarding arrangements for monitoring of resettlement activities by the implementing agency is presented. When appropriate, independent monitors will supplement the role of the implementing agency to ensure objectivity and completeness of information. Performance indicators for measuring inputs, outputs and outcomes of resettlement activities and for evaluating impacts for a reasonable period of time after the resettlement activities have been completed are also presented. (Similar to the RPF) (q) Commitment to follow RPF guidelines and requirement A statement of assurance that the implementing agency will follow the guidelines and requirement of the RPF should be included in the RAP. (r) Description of programmes for improvement and restoration of livelihoods and standards of living of the affected people. Programmes aimed at improving and restoring the livelihoods and standards of living of the affected people in line with the Resettlement Policy framework WSDP Resettlement Policy Framework- RPF 109 ANNEX 7: OUTLINE OF RESETTLEMENT ACTION PLAN Introduction  It briefly describes the project.  Lists project components including associated facilities (if any).  Describes project components requiring land acquisition and resettlement; give overall estimates of land acquisition and resettlement. Minimizing Resettlement  Describes efforts made to minimize displacement.  Describes the results of these efforts.  Describes mechanisms used to minimize displacement during implementation. Census and Socio-economic Surveys  Provides the results of the census, assets inventories, natural resource assessments, and socioeconomic surveys.  Identifies all categories of impacts and people affected.  Summarizes consultations on the results of the various surveys with affected people.  Describes need for updates to census, assets inventories, resource assessments, and socio economic surveys, if necessary, as part of RAP monitoring and evaluation. Legal Framework  Describes all relevant local laws and customs that apply to resettlement.  Identifies gaps between local laws and World Bank Group policies, and describe project-specific mechanisms to address conflicts.  Describes entitlement policies for each category of impact and specify that resettlement implementation will be based on specific provisions of agreed RAP.  Describes method of valuation used for affected structures, land, trees, and other assets.  Prepares entitlement matrix. Resettlement Sites  Describes the specific process of involving affected populations in identifying potential housing sites, assessing advantages and disadvantages, and selecting sites.  Describes the feasibility studies conducted to determine the suitability of the proposed sites, including natural resource assessments (soils and land use capability, vegetation and livestock carrying capacity, water resource surveys) and environmental and social impact assessments of the sites.  Demonstrates that the land quality and area are adequate for allocation to all of the people eligible for allocation of agricultural land.  Provides data on land quality and capability, productive potential, and quantity.  Give calculations relating to site requirements and availability.  Describes mechanisms for: 1) procuring, 2) developing and 3) allotting resettlement sites, including the awarding of title or use rights to allotted lands.  Provides detailed description of the arrangements for site development for agriculture, including funding of development costs.  Have the host communities been consulted about the RAP? Have they participated in the identification of likely impacts on their communities, appropriate mitigation measures, and preparation of the RAP?  Do the host communities have a share of the resettlement benefits? WSDP Resettlement Policy Framework- RPF 110 Income Restoration  Describes if there are compensation entitlements sufficient to restore income streams for each category of impact?  Describes additional economic rehabilitation measures are necessary?  Briefly spell out the restoration strategies for each category of impact and describe their institutional, financial, and technical aspects.  Describes the process of consultation with affected populations and their participation in finalizing strategies for income restoration.  Explains if income restoration requires change in livelihoods, development of alternative farmlands or some other activities that require a substantial amount of training, time for preparation, and implementation?  Describes how the risks of impoverishment are to be addressed?  Describes the the main institutional and other risks for the smooth implementation of the resettlement programmes?  Describes the process for monitoring the effectiveness of the income restoration measures.  Describes any social or community development programmes currently operating in or around the project area.  If programmes exist, do they meet the development priorities of their target communities? Are there opportunities for the project proponent to support new programme or expand existing programmes to meet the development priorities of communities in the project area? Institutional Arrangements  Describes the institution(s) responsible for delivery of each item/activity in the entitlement policy  Describes the Implementation of income restoration programmes; and coordination of the activities associated with and described in the resettlement action plan.  States how coordination issues will be addressed in cases where resettlement is spread over a number of jurisdictions or where resettlement will be implemented in stages over a long period of time.  Identifies the agency that will coordinate all implementing agencies. Does it have the necessary mandate and resources?  Describes the external (non-project) institutions involved in the process of income restoration (land development, land allocation, credit, and training) and the mechanisms to ensure adequate performance of these institutions.  Discusses institutional capacity for and commitment to resettlement.  Describes mechanisms for ensuring independent monitoring, evaluation, and financial audit of the RAP and for ensuring that corrective measures are carried out in a timely manner. Implementation Schedule  Lists the chronological steps in implementation of the RAP, including identification of agencies responsible for each activity and with a brief explanation of each activity.  Prepares a month-by-month implementation schedule of activities to be undertaken as part of resettlement implementation.  Describes the linkage between resettlement implementation and initiation of civil works for each of the project components. WSDP Resettlement Policy Framework- RPF 111 Participation and Consultation  Describes the various stakeholders.  Describes the process of promoting consultation/participation of affected populations and stakeholders in resettlement preparation and planning.  Describes the process of involving affected populations and other stakeholders in implementation and monitoring.  Describes the plan for disseminating RAP information to affected populations and stakeholders, including information about compensation for lost assets, eligibility for compensation, resettlement assistance, and grievance redress. Grievance Redress  Describes the step-by-step process for registering and addressing grievances and provide specific details regarding a cost-free process for registering complaints, response time, and communication methods.  Describes the mechanism for appeal.  Describes the provisions for approaching civil courts if other options fail. Monitoring and Evaluation  Describes the internal/performance monitoring process.  Defines key monitoring indicators derived from baseline survey. Provide a list of monitoring indicators that will be used for internal monitoring.  Describes institutional (including financial) arrangements.  Describes frequency of reporting and content for internal monitoring.  Describes process for integrating feedback from internal monitoring into implementation.  Defines methodology for external monitoring.  Defines key indicators for external monitoring.  Describes frequency of reporting and content for external monitoring.  Describes process for integrating feedback from external monitoring into implementation.  Describes arrangements for final external evaluation. Costs and Budgets  Provides a clear statement of financial responsibility and authority.  Lists the sources of funds for resettlement and describe the flow of funds.  Ensures that the budget for resettlement is sufficient and included in the overall project budget.  Identifies resettlement costs, if any, to be funded by the government and the mechanisms that will be established to ensure coordination of disbursements with the RAP and the project schedule.  Prepares an estimated budget, by cost and by item, for all resettlement costs including planning and implementation, management and administration, monitoring and evaluation, and contingencies.  Describes the specific mechanisms to adjust cost estimates and compensation payments for inflation and currency fluctuations.  Describes the provisions to account for physical and price contingencies. WSDP Resettlement Policy Framework- RPF 112  Describes the financial arrangements for external monitoring and evaluation including the process for awarding and maintenance of contracts for the entire duration of resettlement. Annexes  Copies of census and survey instruments, interview formats, and any other research tools.  Information on all public consultation including announcements and schedules of public meetings,  Meeting minutes, and lists of attendees. WSDP Resettlement Policy Framework- RPF 113 ANNEX 8: OP 4.12 - INVOLUNTARY RESETTLEMENT Revised February 2011 1. Bank experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, social, and environmental risks: production systems are dismantled; people face impoverishment when their productive assets or income sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished or lost. This policy includes safeguards to address and mitigate these impoverishment risks. Policy Objectives 2. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. For these reasons, the overall objectives of the Bank's policy on involuntary resettlement are the following: (a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs. (b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. (c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. Impacts Covered 3 . This policy covers direct economic and social impacts that both result from Bank-assisted investment projects, and are caused by (a) the involuntary taking of land resulting in (i) relocation or loss of shelter; (ii) lost of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or WSDP Resettlement Policy Framework- RPF 114 (b) the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. 4. This policy applies to all components of the project that result in involuntary resettlement, regardless of the source of financing. It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and significantly related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, or planned to be carried out, contemporaneously with the project. 5. Requests for guidance on the application and scope of this policy should be addressed to the Resettlement Committee (see BP 4.12, para. 7). Required Measures 6. To address the impacts covered under para. 3 (a) of this policy, the borrower prepares a resettlement plan or a resettlement policy framework (see paras. 25-30) that covers the following: (a) The resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are (i) informed about their options and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. (b) If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are (i) provided assistance (such as moving allowances) during relocation; and (ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. (c) Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also include measures to ensure that displaced persons are (i) 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; and (ii) provided with development assistance in addition to compensation measures described in paragraph 6(a); WSDP Resettlement Policy Framework- RPF 115 (iii) such as land preparation, credit facilities, training, or job opportunities. 7. In projects involving involuntary restriction of access to legally designated parks and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts, is determined with the participation of the displaced persons during the design and implementation of the project. In such cases, the borrower prepares a process framework acceptable to the Bank, describing the participatory process by which (a) specific components of the project will be prepared and implemented; (b) the criteria for eligibility of displaced persons will be determined; (c) measures to assist the displaced persons in their efforts to improve their livelihoods, or at least to restore them, in real terms, while maintaining the sustainability of the park or protected area, will be identified; and (d) potential conflicts involving displaced persons will be resolved. The process framework also includes a description of the arrangements for implementing and monitoring the process. 8. To achieve the objectives of this policy, particular attention is paid to the needs of vulnerable groups among those displaced, especially those below the poverty line, the landless, the elderly, women and children, indigenous peoples,15 ethnic minorities, or other displaced persons who may not be protected through national land compensation legislation. 9. Bank experience has shown that resettlement of indigenous peoples with traditional land- based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. For this reason, the Bank satisfies itself that the borrower has explored all viable alternative project designs to avoid physical displacement of these groups. When it is not feasible to avoid such displacement, preference is given to land- based resettlement strategies for these groups (see para. 11) that are compatible with their cultural preferences and are prepared in consultation with them (see Annex A, para. 11). 10. The implementation of resettlement activities is linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. For impacts covered in para. 3(a) of this policy, these measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons. For impacts covered in para. 3(b) of this policy, the measures to assist the displaced persons are implemented in accordance with the plan of action as part of the project (see para. 30) 11. Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land WSDP Resettlement Policy Framework- RPF 116 (see footnote 1 above), or on private land acquired or purchased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the land taken. If land is not the preferred option of the displaced persons, the provision of land would adversely affect the sustainability of a park or protected area, or sufficient land is not available at a reasonable price, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented to the satisfaction of the Bank. 12. Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land-based but the land taken for the project is a small fraction of the affected asset and the residual is economically viable; (b) active markets for land, housing, and labour exist, displaced persons use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. Cash compensation levels should be sufficient to replace the lost land and other assets at full replacement cost in local markets. 13. For impacts covered under para. 3(a) of this policy, the Bank also requires the following: (a) Displaced persons and their communities, and any host communities receiving them, are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are established for these groups. (b) In new resettlement sites or host communities, infrastructure and public services are provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder). (c) Patterns of community organization appropriate to the new circumstances are based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of resettlers and any host communities are preserved and resettlers' preferences with respect to relocating in preexisting communities and groups are honored. Eligibility for Benefits 14. Upon identification of the need for involuntary resettlement in a project, the borrower carries out a census to identify the persons who will be affected by the project (see the Annex A, para. 6(a)), to determine who will be eligible for assistance, and to discourage inflow of people ineligible for assistance. The borrower also develops a procedure, satisfactory to the Bank, for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, nongovernmental organizations (NGOs), and it specifies grievance mechanisms. 15. Criteria for Eligibility. Displaced persons may be classified in one of the following three groups: WSDP Resettlement Policy Framework- RPF 117 (a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country); (b) those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets--provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan (see Annex A, para. 7(f)); and (c) those who have no recognizable legal right or claim to the land they are occupying. 16. Persons covered under para. 15(a) and (b) are provided compensation for the land they lose, and other assistance in accordance with para. 6. Persons covered under para. 15(c) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in para. 15(a), (b), or (c) are provided compensation for loss of assets other than land. Resettlement Planning, Implementation, and Monitoring 17. To achieve the objectives of this policy, different planning instruments are used, depending on the type of project: (a) a resettlement plan or abbreviated resettlement plan is required for all operations that entail involuntary resettlement unless otherwise specified (see para. 25 and Annex A); (b) a resettlement policy framework is required for operations referred to in paras. 26-30 that may entail involuntary resettlement, unless otherwise specified (c) a process framework is prepared for projects involving restriction of access in accordance with para. 3(b) (see para. 31). 18. The borrower is responsible for preparing, implementing, and monitoring a resettlement plan, a resettlement policy framework, or a process framework (the "resettlement instruments"), as appropriate, that conform to this policy. The resettlement instrument presents a strategy for achieving the objectives of the policy and covers all aspects of the proposed resettlement. Borrower commitment to, and capacity for, undertaking successful resettlement is a key determinant of Bank involvement in a project. 19. Resettlement planning includes early screening, scoping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component or subcomponent. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. In preparing the resettlement component, the borrower draws on appropriate social, technical, and legal expertise and on relevant community-based organizations and NGOs. The borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design. WSDP Resettlement Policy Framework- RPF 118 20. The full costs of resettlement activities necessary to achieve the objectives of the project are included in the total costs of the project. The costs of resettlement, like the costs of other project activities, are treated as a charge against the economic benefits of the project; and any net benefits to resettlers (as compared to the "without-project" circumstances) are added to the benefits stream of the project. Resettlement components or free-standing resettlement projects need not be economically viable on their own, but they should be cost-effective. 21. The borrower ensures that the Project Implementation Plan is fully consistent with the resettlement instrument. 22. As a condition of appraisal of projects involving resettlement, the borrower provides the Bank with the relevant draft resettlement instrument which conforms to this policy, and makes it available at a place accessible to displaced persons and local NGOs, in a form, manner, and language that are understandable to them. Once the Bank accepts this instrument as providing an adequate basis for project appraisal, the Bank makes it available to the public through its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and the borrower disclose it again in the same manner. 23. The borrower's obligations to carry out the resettlement instrument and to keep the Bank informed of implementation progress are provided for in the legal agreements for the project. 24. The borrower is responsible for adequate monitoring and evaluation of the activities set forth in the resettlement instrument. The Bank regularly supervises resettlement implementation to determine compliance with the resettlement instrument. Upon completion of the project, the borrower undertakes an assessment to determine whether the objectives of the resettlement instrument have been achieved. The assessment takes into account the baseline conditions and the results of resettlement monitoring. If the assessment reveals that these objectives may not be realized, the borrower should propose follow-up measures that may serve as the basis for continued Bank supervision, as the Bank deems appropriate (see also BP 4.12, para. 16). Resettlement Instruments Resettlement Plan 25. A draft resettlement plan that conforms to this policy is a condition of appraisal (see Annex A, paras. 2-21) for projects referred to in para. 17(a) above. However, where impacts on the entire displaced population are minor, or fewer than 200 people are displaced, an abbreviated resettlement plan may be agreed with the borrower (see Annex A, para. 22). The information disclosure procedures set forth in para. 22 apply. Resettlement Policy Framework 26. For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex A, paras. 23-25). The framework also estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs. WSDP Resettlement Policy Framework- RPF 119 27. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy framework conforming to this policy (see Annex A, paras. 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for subproject financing. When, in the assessment of the Bank, no resettlement is envisaged in the subprojects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential subborrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all subprojects involving resettlement, the resettlement plan is provided to the Bank for approval before the subproject is accepted for Bank financing. 28. For other Bank-assisted project with multiple subprojects that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or subprojects (a) the zone of impact of subprojects cannot be determined, or (b) the zone of impact is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (see Annex A, paras. 23-25). For other subprojects that do not fall within the above criteria, a resettlement plan conforming to this policy is required prior to appraisal. 29. For each subproject included in a project described in para. 26, 27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing. 30. For projects described in paras. 26-28 above, the Bank may agree, in writing, that subproject resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity's approval of resettlement plans found not to be in compliance with Bank policy, are provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank. Process Framework 31. For projects involving restriction of access in accordance with para. 3(b) above, the borrower provides the Bank with a draft process framework that conforms to the relevant provisions of this policy as a condition of appraisal. In addition, during project implementation and before to enforcing of the restriction, the borrower prepares a plan of action, acceptable to the Bank, describing the specific measures to be undertaken to assist the displaced persons and the arrangements for their implementation. The plan of action could take the form of a natural resources management plan prepared for the project. Assistance to the Borrower WSDP Resettlement Policy Framework- RPF 120 32. In furtherance of the objectives of this policy, the Bank may at a borrower's request support the borrower and other concerned entities by providing (a) assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level; (b) financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations; (c) financing of technical assistance for developing resettlement policies, strategies, and specific plans, and for implementation, monitoring, and evaluation of resettlement activities; and (d) financing of the investment costs of resettlement. 33. The Bank may finance either a component of the main investment causing displacement and requiring resettlement, or a free-standing resettlement project with appropriate cross- conditionalities, processed and implemented in parallel with the investment that causes the displacement. The Bank may finance resettlement even though it is not financing the main investment that makes resettlement necessary. WSDP Resettlement Policy Framework- RPF 121