March 2003 SAY'A9A I3ASEN WA'zl. it Ef. L LH'H ROJLOCT IRecel,Nlemei: 13cHy LIY 'amewoioR P >j'-'C Dzcu:,_O 1. The Sana'a lBasm is located in central highlands of Yomen and includes the Capital City Sana'a. llhe basin has an area of 3,200 km2 and an average elevation of 2,200 meters above mean sea level. Current population of the basin is estimated at about 1.5 million, of which 300,000 live in the rural areas, and the population growth ratc. is projected to dxlmne from the current 6% to about 4% by 2030. The basin includes some 110,000 hectares (ha) of arable land, of which about 20,000 ha are irrigated. Groundwater is tie major source of watcr in the basin. Abstractions began to exceed recharge during the mid 1 980s as a consequence of the rapid urban population growth and a sharp increase in water use by agriculture, encoiraged by the introduction of tube-well technologies. The basin is experiencing a serious depletion of groundwater resources with an associated degradation in water quality. tin addition a new Waste Water Treatment Plant (WlWTP) has recently bcen commissioned to the north of Sana'a, its effluent could provide a valuable water resource if public health issues can be adequately addressed 2. To address the water scarcity issues, the Government and the World L3ank have agreed to prepare the Sana'a Basin VWater Management Program. The International Development Association (EDA) will implement the Program througvh a 1 5-year Adaptable Program Credit (APC) financed The broad objectives of this proposed 3rogram are: a) to increase both quantity and the usable life of the groundwater resources available for domestic and industrial use in the Basin, and so to postpone the date at whlch new supplies have to be brought in from outside the Basin; and b) to simultaneously increase the efficiency of agriculture water use so as to allow time for a gradual shift to a less water-based rural econonmy in the L3asin Thc objeclives of the Phase t, 5 year pilot project of this LProgram are a) to test and develop demand and supply management methods on a Emitcd scale, so as to app y them on a large scale Liroughout the lBasin during the subsequent phascs of the program; b) to establish the regulatory, legal and institutional framework needed for more sustainable wc.ter resources management in the Basin; and c) to carry out tLe preparation of the LPhase Lh project of the Pu-ograrn. 3. The program involves many sub-projects, whici have not been defired and detmled at this time, among which are physical works n the first phase of this program tfle rehabilitation of existing dams and the constr-ctlion o f-ive new dams ue pianyed Lt is noL krown at this time whether tlhere will be permanent displacement or loss of assets imong the populaLion of owners and users, and to this end this Rlesettlement Policy FCramework has been developed to ensure that all the physical works are in conformity with 3ank pol cy The land required for these works already lies either within the public domain, or will be acquired by following a process of expropriation and compensation. 4 T1he project's design has taken care to avoid displacemcnt, dispossession and conflicts. Nonetheless, the construction of new dams sLill mighlt enLail some unforeseen land acquisition and compensation issues, in which case GPM?/ 4.12 related to Inv/oluntary lResettlement will be triggered. Tis lResetAlement Policy Framework (R1U, serves to show the procedures to be followed by the CoY to compensate for assets takcn or lcss of access to livelihood resources, the procedures for compensation, and the measures to mitigate any nel7ative impactLs. .'~-''p;?. andG CLJ.'7i--z Governin,g Resettffirent P, d'atieii d ImSpimentation 5. this Resettlement Policy Framework establishes the procedures for any land acquisition or loss or restriction of access to assets, through expropr aLion in the pubiic intercst. 't apphes to private and communual lands or properties al',.edr;d througliout the $ara'a E3asin Water Management Project. hn particular, it addrcsses how the govertmment will identify, mitigate and compecnsatLe any adverse impacts on the assets and livelihoods of the people directly affected by possible expropriations It is intended to safeguard tle interests of the population impacted by the project, especially the poor and vulnerable. 6. This Framework also describes the requircd organizational arrangements and design criteria to be applied to subprojects during project implertentation and the procedures and content of any abbreviated or full resettlement action plans if and as required. 'I. The objective of the .3ank's policy is to ensure that throughout its life, the project fully complies with the principle that any involuntary loss of assets or relocation of economic activities or residence, are minimized and fully compensated, and thlat adequate procedures exist for prior consultation ofr all affected persons', assessment of losses and entitlements, handling complaints and disputes, and monitoring the outcomes. In particular it provicLes that the outcomzs conform to the pnneiples of ful' and prior compensation for any lost assets znd full restoration of standards of living that are directly and adversely affected.2 The policy also applies to those who lack legal or formal ownership of affected assets and are entitled to fair comp2ensation and all otler forms of assistance (housing, social services etc). 8 This policy provides for any situations that may arise where the need for ermporary or permanent additional land bccomes apparent at the stage of sub project selection or technical design, or where execution of physical works results in the disturbance of occupants or users. Legapl .: S 9. Yemen's legisia.ion provides the legal framework for this RUlF. The conditions and provisions for declaring areas of )and as public eminent domain, the provisions for expropriation and compensation; and the dcfinition of rights of owners and use s of communal prcperty all exist in law. Howcver, because of the weakness of the judicia system and the prese ice and prevalence of tribal law, it is necessary that the RiF take the social context into acco-nt and adapt it to local conditions Laws Covering2ropey 10 Thle Yemeni Constitution (article 20) protects citizens Rfom the general expropriation of their assets. Public Eminent Domain Law (PEDL), passed by parliarment in 1995, gives goverinmental bodies (including govemors) the right to acquire privatc property for projects in the public interest. Yemeni law stresses that land expropriat.on is to takc place only in the event that no suitable land alternatives exist that are already in theI public, domain En such instances the legal provisions for expropriation and compensation will apply The law descriSes- (i) situations of legal expropriation; (ii) procedures for expropriation; (iii) the agency responsible for valuation of the compensation and its procedures i T1hrec main types of expropriation procedures descrb'ed in the PEDL apply to this project (i) Judicial Expropriation where the state declares the iieed for the law bascd on public interest, (ii) Amicable Expropriation is based on the conisent of the ovvners and compensation is l For the purposes of this framework, "affected persons" are defined as all persons who, as a result of works carried out or to be carned out under the Project, would incur involuntary loss, temporarily or permnanenty, of land, shelter, pioductive assets or access to productive assets, or of income or means of livelihtood and, as a consequence, would have their living standards or production levels advarsely affected. 2 This policy complies with tlc Bank's safeguards requixments fcr financing investment projects as detailed in Operational Policy 4 12. 2 to be valued by an Estimation Committee; (iii) Teraporay Appropriation is wa.en governmcntal authorities require access to lands for construction of public works. :n such cases the law requires liat it be returned to the appropriate owncr in thie same condition that it was received, and the implementing govcrnmenot agency is required to compensate the owner for any damages. TAhe Evaluation Committee will estimate the value of the damages 12. Article 59 in the State's Real Estates Law also recognizes the rights of squatters on public domain to receive compensation in the event ol involuntary settclement according to the standards set by the technical committees of the, Ministry of Agriculture and Irrigation Jaws Oovejgaaicin tion 13. The Yemeni Constitution, Elections Law and Local Administration Law recognize the importancoe of communal partbicipation, although tnere aie no spocific procedures a.id guidelines for public consultation. LlIznimD:E , 1 and I intina am Lpacts Minimization of ,Ynnacts 14. WIhen a sub.-project (iDam s-ite) is first identified, including alternative designs, the pre- feasibility stLudy shall include cadastral information (if tie land in surveyed) or other information on ownership, as weli as existing structures and uses of the land tAhat would be directly affected by the works, either temporarily, or permanently, both within tLhe are,a to be inundated by the dam as well as the impacted people downstream. This information shall be verified in situ by a qualified social scientist who shall record in writing and whcrc possibl with photographic record, and enumerate all economic, res-dential or other ownershi is and iises of the land that would be affectcd, together witlh an estimaLe of the numbers of people affected by type of impact. 15. In t'ne event that the proposed sub project entails no dis.urbance or any expropriation of occupied or privatc land, this information shall be properly recorded and made available 16. If the proposed sub.-project design entals any impacts on land or assets (see 1Footnote 1), the design shall be reviewed and revised based on the a-propriaec and documcnted consultations witl the affeeed persons, and with the aim of avoiding or minitazing expropriation and adverse socio economic impacts. Land Acquition Plan (LA?, Procedures 17. WVVhere impacts would be unavoidable, the Project Mann1gement Unit (?MU) will notify the Bank by means of a bnef Land Acquisition P.lan for that sub project, and the information provided oy the prefeasibility studies. This Land Acquisition lIan, based on the social scientists' findings will identify and justify the temporary or permanent expropiiations proposed, and will indicate anticipated impacts on all project. affected pcisons, inzluding those who lack legal or formal ownership of affected assets The precise number of ,roject affected people that will require compensation must be included in the Land Acquisition Plan after being identified in a census eamed out for that purpose. Yhe Land Acquisition PUln will also include: 1) specific entitlemcnts and comnoensations or other remedial acl.ions to be taken; ii) the assignment of executing roles and responsible agencies, and iii) a record of the initial consultations with the affected population. 18. The 3ank, on reviewing the Land Acquisition lPlan, will advise the Ministry of Agriculture and llrrigaion whether or not the proposed sub..proect and the costs associated with implementing the LA? can be financed under the loar. LI3A will not cover the dircct costs of purchasing land or any other cash benefits. 'The GoY should finance these costs On the basis of the LA3, the 1Bank will also advise the Ministry of A;riculture and Irrigation whether a full or abbreviated L.esettlement Action lIan should be prepared and whether er not other remedial actions need to be taken The submission of the plan aid its approval by the Bank is a condition that must be met prior to subproject approval and the in:tiation cf any works. 3 Abbreviated Resettlement Plan Procedures 19. Given the nature of the proposed sub-project components, any -activity that may cause taking of land or other assets is likely to affect relatively few people (e.g., less than 200 people), and impacts are likely to be relatively minor (e.g., not requiring changes in occupation or relocation of residence). Under such circumstances, an abbreviated resettlement plan will be prepared for each sub-project. The abbreviated resettlement plans should briefly present a) The project activity necessitating acquisition of land or any other assets, and the nature and extent of that acquisition, including sketch maps; b) An officially certified enumeration of all the persons affected (including those without legal rights) and the types of impact (Census); c) A description of compensation and entitlements according to the different categories of impacts and a corresponding table of compensation entitlements and the nature and bases of compensation rates; d) Consultation with displaced people about acceptable choices and alternatives; e) Institutional responsibility for the implementation and the procedures for grievance redress; f) Arrangements for monitoring and evaluation of resettlement and/or compensatory measures; g) The timetable for implementation of the action; h) Verification that resources for compensation are available. 20. The abbreviated plan (except for the amounts of monetary awards) shall be made publicly available in Arabic, and other media as appropriate, and in locations accessible to the affected people. Subsequent to its approval by the Bank the Bank will make it available in the Infoshop. The plan must be approved by the Bank prior to the approval of sub-projects triggering OP 4.12. 21. In the event that any project activity is to affect more than 200 persons, a full Resettlement Action Plan (RAP) must be formulated in conformity with Banik policy. Full Resettlement Action Plan (RAP) Procedures 22. In cases where a sub-project would incur involuntary resettlement or other significant or large-scale impacts, the Govemment will prepare a full Resettlement Action Plan for that individual sub-project. The full RAP requires more in-depth studies than the abbreviated resettlement action plan, including socio-economic and other supporting studies (please refer to the OP/BP 4.12 for full details and requirements of the full RAP). 23. The socio-economic study is conducted by a qualified social scientist that examines the nature of the impacts; the socio-economic and cultural setting, local organizations, and social risks, as well as the indicators that would ensure that the project affected people at minimum regain their former quality of life or preferably are enabled to improve it. The socio-economic studies cover the following: a) The results of the census including current occupants of the affected areas to establish the baseline for eligibility criteria and to prevent subsequent inflows of people and claims; b) Description of the affected households (taking into account the directly affected area as well as downstream impacts in the case of dams) including information about livelihoods and production and labor systems, standards of living and an analysis of their legal rights and informal entitlements and any issues of potential conflict; 4 c) Statement of the magnitude of the expected loss (total or partial) of assets and the extent of physical or economic displacement; d) Information about especially poor or vulnerable groups for whom special provisions should be designed; e) Provisions to update information about displacement, livelihoods and standards of living before, during and after displacement; 24. Other studies of particular importance for the Sana'a Basin Water Management Project to be developed in the RAP will include, as needed: a) A description of the land tenure system and inventory of common property and other resources from which people derive their livelihood and sustenance, non-title usufruct systems (including grazing or other uses of lands and assets), land allocation mechanisms, and any other issues raised by different tenure systems in the affected area, as well as customary or tribal law relating to loss of assets and compensation; b) Documented and updated findings of the legal framework including the scope and power of eminent domain and the nature of compensation associated with it, including valuation methodology and timing of payments; c) Relevant laws (including customary) goveming land tenure and that relate to the resolution of conflicts and dispute arbitration; d) Legal steps to ensure the effective implementation of resettlement and compensation activities under the project including, as appropriate, a process for recognizing claims to rights of land including tribal, customary, and traditional usage. 25. If a full RAP is required the plan must include the following components as well. Statement of objectives of the resettlement program: counter-risk and safeguard provisions. This includes: a) A discussion of how the displaced people, will maintain or upgrade their living standards; b) Provision of services (facilitation of relocation); c) Services offered after relocation (e.g. employment, water & electricity etc.) based on an assessment of their needs; d) Site Selection for New Settlement together with relocation risks and reconstruction; e) Organization and Timetable (what institution is responsible for implementing the relocation); f) Monitoring Implementation and Outcomes; and g) Financing of Resettlement costs. Consultation and Grievance Procedures. 26. Regardless of the issues of land acquisition or loss of assets, in the Sana'a Basin project consultation with the beneficiaries before the design of any sub-projects is of critical importance. Because water is a common asset subject to tribal regulations the arrangements and agreements for the use of water from any dams must be settled before any subprojects are developed and approved. There are instances where water from full dams cannot be used because of local disputes over water, thus the social analysis of the customary water tenancy laws must be clear and agreements established before any subproject is approved. 5 27. Where there will be any land acquisition or loss of access to resources and either abbreviated or full RAP is required, early consultations with the project affected people constitute part of the entire process and the details of the mechanisms for consultation and grievance procedures are documented in the resettlement plans. Following consultations, any remedial plans (e.g. abbreviated RAP; full RAP) will be disseminated to the project-affected persons in a manner accessible to them. Information disseminated to the project-affected persons will include: (i) compensation rates for all categories of affected assets; (ii) eligibility criteria for all other forms of assistance that may be provided; and (iii) grievance procedures (including specific contact information for initiating, or following up on, grievances). 28. If project-affected persons are not satisfied with proposed resettlement arrangements, or if they are dissatisfied with actual resettlement implementation, they can first seek satisfaction through local customary practices for resolving conflict. If this does not result in resolution of issues, project-affected persons will direct their grievances to the special grievance committee to be formed within the PMU. The grievance cornmittee should record receipt of grievances and reply to the project-affected person or persons within ten days after receiving the grievances. If the grievances or disputes cannot be resolved through administrative action, the project-affected person can initiate legal proceedings in accordance with provincial and national law. Institutional and Implementation Arrangements 29. Once the abbreviated or full resettlement Action Plan has been approved by the Bank, the Ministry of Agriculture and Irrigation in accordance with Yemeni law, shall subsequently inform the State Real Estate Authority prior to beginning the expropriation process. 30. The Survey Authority is responsible for mapping out the project area with the assistance of technical experts contracted by the Ministry of Agriculture and Irrigation. The Ministry of Agriculture and Irrigation will be responsible for the hiring of qualified expertise, including qualified sociologists to undertake the necessary social analyses as previously specified in this document. 31. The Evaluation Committee will estimate the property value for those who have title; if public land is occupied without title, a special technical committee set-up by the Ministry of Agriculture and Irrigation shall assess its value. 32. Once the population to be displaced has been identified, the PMU: (i) prepares a resettlement procedures manual that will be based on this RPF; (ii) following bank guidelines for tendering and selecting contractors, identifies an agency to implement the resettlement program; and (iii) and prepares a resettlement action plan. In partnership with the PMU, the implementing agency: (a) Begins the consultative process with the community; and (b) Prepares a social assessment to identify the needs of the population to be displaced. 33. Grievances or other claims and conflicts will be resolved according to the measures outlined above (Consultation and Grievances). In cases of disputed claims of ownership claimants have recourse to the Appellate Courts and the Supreme Court. Financial Costs 34. The GoY will finance the costs of land acquisition and resettlement grants. The IDA loan will cover all other costs linked to resettlement (e.g. costs associated with housing, any related technical assistance, monitoring etc). 6 Monitoring and Evaluation 35. The requirements for monitoring and evaluation as outlined here will be incorporated into whichever resettlement instrument is required (abbreviated or full RAP). The primary responsibility for monitoring the implementation of resettlement measures will be with the PMU. Depending on the degree of complexity of the required measures for land acquisition and resettlement, several agencies may be involved in this process, and the PMU will monitor them all as well as coordinate the execution of the process. External monitoring agencies will also be contracted to ensure that the resettlement process is fair, transparent, and complete. Specific monitoring indicators will include measures of inputs, outputs, outcomes and impacts against which the resettlement process will be measured. Further details of the monitoring mechanisms will be detailed in the Resettlement Procedures Manual. The monitoring and evaluation of this component of the project will also be undertaken during Bank supervision missions with qualified social scientists participating. 7 FINAL REPORT STATISTICS 2003 (Tia Davis) SAR MOP PR PAD 1/27/03 to 20 20 0 0 1/31/03 2/3/03 to 2/7/03 16 18 0 0 2/10/03 to 20 18 7 0 2/14/03 2/17/03 to 5 5 3 0 2/21/03 2/24/03 to 26 25 3 0 2/28/03 3/3/03 to 3/7/03 21 19 0 0 3/10/03 to 18 11 0 1 3/14/03 FINAL REPORT STATISTICS 2003 (Tia Davis) SAR MOP PR 1/27/03 to 1/31/03 20 20 0 2/3/03 to 2/7/03 16 18 0 2/10/03 to 2/14/03 20 18 7 2/17/03 to 2/21/03 5 5 3 2/24/03 to 2/28/03 26 25 3 3/3/03 to 3/7/03 21 19 0 FINAL REPORT STATISTICS 2003 (Tia Davis) SAR MOP PR 1/27/03 to 1/31/03 20 20 0 2/3/03 to 2/7/03 16 18 0 2/10/03 to 2/14/03 20 18 7 2/17/03 to 2/21/03 5 5 3 2/24/03 to 2/28/03 26 25 3 3/3/03 to 3/7/03 21 19 0