RP1404 MINISTRY OF FINANCE INVESTMENT PROJECTSIN THE BAROTSE AND KAFUE SUB-BASINS Volume II RESETTLEMENT POLICY FRAMEWORK FINAL DRAFT FEBRUARY 2013 Pilot Program For Climate Resilience 1. EXECUTIVE SUMMARY The Government of the Republic of Zambia (GRZ) has commenced implementation of the Pilot Program for Climate Resilience (PPCR) funded by the Climate Investment Funds (CIFs). The PPCR will fund two Investment projects, these are: (i) Strengthening Climate Resilience (PPCR phase II) Project, in the Barotse Sub-Basin (Administered by the World Bank), and (ii) A complimentary project (Administered by the African Development Bank) which will focus on similar interventions but in the Kafue Sub basin. The geographical scope of the two investment projects will cut across 16 pilot districts out of 28 in both basins. In the Barotse Sub basin the pilot districts are Kalabo, Kaoma, Lukulu, Mongu, Senanga, Shang’ombo, Sesheke and Kazungula, while in the Kafue Sub basin the districts selected as pilots are Chibombo, Kafue,Choma, Itezhi-tezhi,Mazabuka, Monze,Mumbwa and Namwala. The PPCR programme in Zambia is led and coordinated by the Ministry of Finance (MoF). The programme consists of three core components :( 1) Participatory Adaptation, (2) Climate Resilient Infrastructure and (3) Strategic Programme Support. There are two aspects to the programme. Phase I: is the preparatory phase which is ending in 2013; and Phase II: is the Implementation Phase which starts in 2013 and ends in 2019 for both the WB and the AfDB respectively. The PPCR in Zambia seeks to: a) mainstream climate change adaptation into national plans and strategies; b) assist communities in highly vulnerable areas to identify and address their own climate change adaptation options as part of local development plans; c) incorporate climate resilience into existing community development funds to ensure their sustainability; d) invest in highly visible infrastructure as a way to rally public support for adaptation; e) build on partnerships, particularly with private sector and civil society; f) use the transformative power of communication technologies; and g) Strengthen the institutional foundation for a future climate change programme. Eligible project prototypes to be financed cut across several thematic areas namely: Agriculture land use and livestock practices, diversification of livelihoods, Climate information and community preparedness, Community level infrastructure(small dams, ponds and improved wells), Infrastructure climate proofing ( roads and canals) and support to participatory adaptation. Emphasis of implementation arrangements vary depending on the priorities for each basin. In the Kafue Sub basin for instance, strengthening of farm level support systems, such as (conservation agriculture, fertility management, crop diversification, promotion of livestock and fisheries, upgrading community level infrastructure; i.e. reservoirs, small dams, small scale irrigation schemes, community forestry plantations, flood control and diversion structures, and support to local government and community groups to help them incorporate climate risk management in local area development plans is the main focus. Volume II Resettlement Policy Framework Page ii Pilot Program For Climate Resilience In the Barotse Sub-basin similar interventions are envisioned, but the focus is on diversification of Agriculture, livestock practices, livelihood opportunities into sustainable activities that are not climate sensitive, and/or moving them to less climate sensitive locations (i.e. bee-keeping, crafts using local non –timber materials, processing, aquaculture, and livelihood investments in higher grounds. Infrastructure initiatives for water management to reduce effects of flooding; rehabilitation and / or manage canals to improve drainage and / or store water to overcome shorter growing seasons and allow for early planting and full maturation. At ward level strengthening the base of infrastructure such as schools, health clinics or halls which may also act as flood shelters and facilitation/equipping local livestock para-vet centres for vaccination and disease control are some of the other priorities. Sub-projects in the selected pilot districts will all be community-demand driven (CDD). In this regard the nature and exact locations of the anticipated subprojects are yet to be defined and identified by the communities. Given that these (CDD) sub projects will be small scale in nature, the anticipation is that, no major displacement of populations in the Kafue and Barotse sub-basins is envisaged as a direct consequence of the implementation of the planned sub-projects. However; in spite of that, preparation of this RPF is still very relevant. The purpose of this Resettlement Policy Framework (RPF) therefore, is to provide general guidelines and practical procedures for sub-projects which may ‘‘entail ceding of land and assets by affected persons or entities in return for replacements or other forms of restoration.� PURPOSE OF THE RPF The World Bank and the African Development Bank (AfDB) standards for financing development projects requires that a Resettlement Policy Framework (RPF) be prepared leading up to a Resettlement Action Plan (RAP) where land acquisition is required and/or economic displacement of people and communities is anticipated and or where such impacts take place as direct a consequence of development. This RPF for the PPCR is prepared to provide procedures and methods to identify and compensate the displaced or affected persons. The specific objectives of this RPF are to: i. Minimize and mitigate impacts of involuntary resettlement resulting from all components of subprojects under the PPCR. ii. Ensure that people adversely affected by subprojects are fully compensated for the loss of assets, livelihoods, access rights, etc. and successfully relocated, the livelihoods of displaced people are re-established and the standard of living improved. iii. Ensure that no impoverishment of people shall result as a consequence of compulsory land acquisition or acquisition of assets, for purposes of implementing PPCR subprojects. iv. Assist adversely affected persons in dealing with the psychological, cultural, social and other stresses caused by compulsory land acquisition. v. Make all affected persons aware of processes available for the redress of grievances that are easily accessible and immediately responsive. Volume II Resettlement Policy Framework Page iii Pilot Program For Climate Resilience vi. Have in place a consultative, transparent and accountable involuntary resettlement process with a time frame agreed to by the subproject implementer and the affected persons. vii. Provision of adequate assistance in form of transport, temporary accommodation, housing, training, capacity building, service provision etc. to project affected persons (PAPS) viii. This RPF does not apply to environmental issues but to:  Involuntary resettlement  Land acquisition, and  Restriction of access to means of livelihoods The contents of this RPF are organised in four broad sections starting with an introduction that sets the context and includes a description of the project under which the Community-demand driven sub-projects will be implemented in both the Kafue and Barotse Sub-basins. This section ends with an assessment of the identified potential environmental impacts directly related to resettlement. The second section of the RPF focuses on a number of areas which include (i) the procedures for the preparation, review and approval of resettlement action plans; (ii) Zambian legislation, World Bank (WB) and African Development Bank (AfDB) policies on resettlement. The third section of the RPF;(i) describes criteria and procedures for defining people who are affected by the sub-projects (ii) identifies methods for valuing assets affected by the sub-projects; (iii) describes the arrangements for financing the compensation for resettlement; (iv) describes ways of handling compensation payments and procedures (entitlements and compensation matrix). The final part of this section provides a detailed description of mechanism for addressing grievances and recommended procedures. The final Section of the RPF focuses on the monitoring arrangements for both the RAPs and of the RPF itself. The section includes a list of indicators that provides the basis for monitoring and subsequent evaluation. The sections of this Executive summary that follow present some of the key issues which are contained in the RPF, starting with the Legal Framework. LEGAL FRAMEWORK The Relevant Zambia Laws related to land administration use, ownership, valuation, compensation entitlement and grievance redress procedures are considered in the Zambian Constitution. These are the Land acquisition Act, the Public Roads Act, the Agricultural Lands Act, the Arbitration Act, the Zambia Environmental Agency Act, the Local Government Act, the Lands Act, the Zambia Wildlife Authority Act, the Land Conversion of Titles Act and the Land Survey Act. WORLD BANK POLICY REQUIREMENTS Volume II Resettlement Policy Framework Page iv Pilot Program For Climate Resilience The World Bank safeguard policy OP 4.12 relates to the administration of resettlement issues in the event of project activities inducing displacement of people and disrupting their livelihoods. The policy might apply to some sub-project activities of the PPCR. WB OP 4.12 Stipulations According to the WB Safeguard policy OP 4.12, particular attention should be given to the needs of vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed households and other disadvantaged persons. It is also a requirement of the policy that provision of compensation and other assistance be effected prior to people’s displacement. This implies that acquisition of land if any for PPCR activities can only take place after those affected have been compensated. In this regard, resettlement sites, new homes and related public infrastructure, public services and moving allowances will be provided to the affected persons and incorporated in all displacement action plans in accordance with the OP 4.12 provisions. In addition, the World Bank policy offers the impacted persons an opportunity to improve their livelihoods and living standards through the participation in the planning preparation and implementation of RAPs. The WB safeguard policies also require that:  Resettlement or displacement should be avoided wherever possible or minimized in this regard all viable alternative project designs should be considered before finally deciding on displacement.  Resettlement or displacement activities should be conceived as sustainable development programmes, providing sufficient investment resources to enable the person displaced by the project activities to share in project benefits.  Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least restore them, in real terms to pre-displacement levels or to those prevailing prior to the beginning of project implementation whichever is higher. The OP 4.12 also stipulates that the RPF and RAPs should include measures to ensure that the displaced persons are safeguarded as follows:-  They should be informed about their options and rights pertaining to resettlement or displacement.  They should be consulted, offered choices and provided with technically and economically feasible resettlement alternatives.  They should be provided with prompt and effective compensation at full replacement cost for loss of assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are :  Provided with assistance, such as transport and other allowances during relocation. Volume II Resettlement Policy Framework Page v Pilot Program For Climate Resilience  Provided with residential housing or housing sites or as required agricultural sites for which a combination of productive potential, location advantages and other factors are at least equivalent to the advantages of the old site.  Offered support after displacement, for a transition period, based on a reasonable estimate of time likely to be needed to restore their livelihood and standards of living.  Provided with development assistance in addition to compensation measures such as land preparation, credit facilities or job opportunities. AfDB POLICY REQUIREMENTS ON INVOLUNTARY RESETTLEMENT (2003) The AfDB policy requirements on Involuntary Resettlement of (2003) sets out the principles and procedures for Bank financed projects involving involuntary acquisition of land or other assets that cause: a) Relocation or loss of shelter by the persons residing in the project area; b) Loss of assets or involuntary restriction of access to assets including national parks, protected areas or natural resources; or c) Loss of income sources or means of livelihood as a result of the project, whether or not the affected persons are required to move. The policy also classifies groups entitled to compensation as: a) those with formal legal rights to land or other assets recognized under the laws of the country, b) those without formal legal rights to land or other assets at the time of the census but can prove that they have a claim to such land or assets which are recognized under the customary land tenure laws of the country and c) displaced persons who have no recognizable legal right or claim to the land they are occupying. The policy states that:  Where possible, resettlement should be avoided  The aim of relocating should be to improve the livelihoods of the affected people  Resettled people are given assistance during and after relocation  Affected communities should participate in the resettlement plan  Compensation benefits should be made clear in the resettlement plan and those affected should be aware and have a full understanding on the compensation procedure The AfDB Involuntary Resettlement Policy emphasises on the need to have projects that are gender sensitive and those that accommodate the vulnerable people. The following are some of the differences between Zambian laws and the World Bank OP 4.12 and the AfDB’s Resettlement policy provision of 2003, in terms of general principles of resettlement, eligibility criteria compensation period for expropriation and resettlement. Overlaps and Gaps between the Zambian Legislation and operational Policies of the MDB Volume II Resettlement Policy Framework Page vi Pilot Program For Climate Resilience There are many similarities between the Zambian law and the MDB operational policies. The overlaps include:-  The requirement to pay compensation in advance where land is compulsorily acquired  Compensation based on full market value or through grant of another plot of land or building of equal quality, size and value.  Avoidance wherever possible, impacts on forest reserves, national parks and other fragile ecosystems,  The requirement to compensate for losses whether temporary or permanent in production or damage to productive assets and crops; and  Provision for the rights of appeal and other judicial avenues for resolution of disputes. Gaps The following gaps exist between the World Bank Op 4.12 provisions and the Zambian legislation: Comprehensive resettlement planning. There is no requirement under the Zambian law for the preparation of a comprehensive formal resettlement action plan (RAP) including carrying out a census, social economic survey, consultations with project affected people, monitoring, reporting, etc. The Town and Country Planning legislation which deals with issues of human settlements and development in Zambia does not refer to involuntary settlement but only to the removal of squatters on state lands needed for urban expansion and development. Compensation eligibility in Zambia. Under the Zambian law, only people and entities with title deeds are entitled to compensation e.g. those with registered third party rights or those who have legally obtained the right to register but have not yet completed registration. Under World Bank’s OP 4.12, illegal land users without title to the land are entitled to compensation for land use and affected structures on it (but not compensated for land) as long as they are present prior to established cut-off date. In some cases of illegal development, compensation is provided on discretional basis on case by case basis. Compensation and resettlement assistance. The current Zambian law provides for the payment of compensation at market value for losses of land, buildings, crops and other damages arising from the acquisition of land for project activities. Under the Zambian law, moving costs or rehabilitation support to restore previous level of livelihood or living standard is not recognized, and there is no government agency charged with that responsibility. Property measurement. Under the Zambian law, compensation is equal to the market value of the property without reference to depreciation. On the contrary, under the World Bank Safeguard policies, compensation for lost properties will be calculated on the basis of full replacement cost i.e. equal to what enables the project affected people (PAP) to restore their livelihoods at the level prior to resettlement/ displacement. Volume II Resettlement Policy Framework Page vii Pilot Program For Climate Resilience Income restoration. The current Zambian law does not recognize compensation for lost income contrary to the World Bank’s OP 4.12 provision which requires that lost income due to project activity should be compensated. The gaps existing between the AfDB Operational policy provisions and the Zambian legislation: There are no major gaps between the AfDB and Zambian legislation. The requirements are identical, when one examines the criteria for those eligible for compensation under AfDB requirements, were the policy classifies groups entitled to compensation as: a) those with formal legal rights to land or other assets recognized under the laws of the country, b) those without formal legal rights to land or other assets at the time of the census but can prove that they have a claim to such land or assets which are recognized under the customary land tenure laws of the country. Recommended measures to close the gaps between the MDB’s and Zambian legislation include the following: i. streamlining the compensation process under the Zambian Law to ensure that approvals are consistent with World Bank and AfDB’s requirements ii. Development of valuation and compensation procedures by the PPCR Secretariat which allows the delegation of authority and decision making to the local levels in order to cater for small scale sub projects activities with minimum impacts. iii. The implementation of this RPF provision should be consistent with the World Bank’s OP 4.12 on Involuntary Resettlement (2001) and the African Development Bank’s Involuntary Resettlement Policy of November (2003), and that this harmonization should be affected through an agreement between the Ministry of Finance as the implementing Agency for the Programme, and the two MDB. iv. WB OP 4.12 and the AfDB’s Resettlement policy provision that resettlement be avoided as much as possible while the Zambian Laws provides for repossession of land wherever deemed necessary in the National Interest. v. The Zambian legislation provides for compensation to land titleholders with lease to the properties in question while the World Bank OP 412 and the AfDB’s Resettlement policy provision entitles those without formal rights to the land they occupy to claim compensation vi. The World Bank’s OP 4.12 and the AfDB’s Resettlement policy provision that vacating should take place only when the necessary measures for resettlement have been put in place contrary to the Zambian legal provision for vacating of repossessed land as soon as compensation has been paid. vii. When gaps are encountered between the requirements under WB OP 4.12 on Involuntary Resettlement, AfDB Resettlement policy provision and Zambian legal provisions, the requirements and standards of the WB and the AfDB will be met during project implementation. Volume II Resettlement Policy Framework Page viii Pilot Program For Climate Resilience VALUATION AND COMPENSATION Valuation system is well established in Zambia. The four methods used by the Zambian system are: (i) comparative, (ii) investment, (iii) residual and (iv) the depreciated cost method. The application of the Zambian Valuation methods and compensation are recommended in this RPF provided the World Bank OP 4.12 provisions and that of the AfDB Involuntary Resettlement policy of (2003) are complied with and that provisions for the two the Operational policies should prevail in case of conflict. In addition, the provision of micro financial support and skills development should be included in programmes aimed at improving or restoring livelihood and standards of living of project affected persons. RAPS PREPARATION AND IMPLEMENTATION The follow-up resettlement instrument to this RPF is a RAP, if it required. The following are the steps to be followed when preparing a RAP: i. Project description ii. Identification of potential impacts iii. Objectives iv. Socio-economic summary, as required v. Legal framework vi. Institutional framework vii. Eligibility of PAPs viii. Census survey of displaced persons ix. Valuation of assets x. Description of compensation and other assistance to be provided xi. Environmental management xii. Consultations with displaced people about acceptable alternatives xiii. Institutional responsibility for implementation and procedures for grievance redress xiv. Arrangements for monitoring and implementation xv. Timetable and budget xvi. Monitoring and evaluation RESETTLEMENT ACTION PLANS (RAPs) The process of preparing and implementing the RAPs should be characterized by wide consultations with affected stakeholders and public disclosure. To ensure success, the process of implementing sub-project RAPs, after approval should include continuous consultations process with stakeholders and PAPs during site selection, screening and the RAPS development, affected people’s notification, assets documentation, compensation negotiations and agreements, contracts preparation and assistance provisions to PAPs. GRIEVANCES REDRESS MECHANISMS This RPF provides that by the time that the RAP’s are approved; affected individuals and households will have been informed of the process for expressing dissatisfaction and seeking Volume II Resettlement Policy Framework Page ix Pilot Program For Climate Resilience redress. In Zambia the grievance redress methods include the Local Government Organs method and the Local Courts System. As explained in this RPF, all grievances concerning non fulfilment, level of compensation, nature of resettlement assistance provided or seizure of assets without compensation should be addressed through the PPCR Secretariat and the Local Courts Systems. The Village headman, the Ward Councillor the Resettlement and compensation Committee should be notified by those seeking redress and wishing to state the grievance. IMPLEMENTATION ARRANGEMENTS AND FUNDING FOR RESETTLEMENT The Ministry of Finance and the relevant Ministries Provinces Councils and local Communities are the key Agencies in the Implementation of this Programme. At the National Level MOF will host the National Steering Committee, while at the Provincial level PPCR activities will be coordinated by the PDCC chaired by the Provincial Permanent Secretary while at the District level the DDCC chaired by the District Commissioner will coordinate and facilitate their District programme activities. Relevant Provincial and District Government Departments and Agencies NGO’s and other stakeholders will be involved in their areas RAPs implementation and monitoring. PPCR Secretariat and their Agencies at District, Ward and Local Area levels will be responsible for sub- project impacts to determine the need or otherwise for resettlement and or compensation. MONITORING ARRANGEMENTS This RPF provides that before implementation of sub-project activities are commenced the PPCR Secretariat should ensure that the programme’s monitoring mechanisms should include arrangements for monitoring compensation and resettlement activities. In this regard evaluation shall be made to determine whether PAPS have been paid in full and on schedule, and whether they enjoy the same or higher living standards than those which prevailed before the commencement of project activities. In addition, the impacts of compensation and resettlement activities shall be monitored using objectively verifiable indicators (as stated in this RPF) in order to determine and guide improvements in the living standards of the PAPs. In this regard the physical and socio-economic status of PAPs should be measured using quantitative and qualitative indicators as stated in this RPF. Volume II Resettlement Policy Framework Page x Pilot Program For Climate Resilience TABLE OF CONTENTS 1. INTRODUCTION ........................................................................................................................................ 1 1.1 RESETTLEMENT POLICY FRAMEWORK PURPOSE AND OBJECTIVES ........................................................ 1 1.2 PROJECT DESCRIPTION ........................................................................................................................... 2 1.3 COMPONENTS NEED FOR RPF ................................................................................................................ 7 2. IDENTIFIED POTENTIAL RESETTLEMENT RELATED ENVIRONMENTAL IMPACTS......................................... 8 2.1 GENERAL SOCIO-ECONOMIC CHARACTERISTICS OF THE PILOT AREAS ................................................... 8 2.2 BAROTSE SUB BASIN POTENTIAL RESETTLEMENT RELATED ENVIRONMENTAL IMPACTS, MITIGATION MEASURES AND RESPONSIBLE AUTHORITIES ......................................................................................... 9 2.3 KAFUE SUB BASIN ENVIRONMENTAL IMPACTS, PROPOSED MITIGATION MEASURES AND RESPONSIBLE AUTHORITIES ........................................................................................................................................ 10 3. RESETTLEMENT ACTION PLAN PREPARATION REVIEW AND APPROVAL ................................................. 12 3.1 TERMS OF PREPARATION OF THE RESETTLEMENT POLICY FRAMEWORK............................................. 12 3.2 RESETTLEMENT POLICY FRAMEWORK STRATEGIES .............................................................................. 13 3.3 OVERVIEW OF RPF METHODOLOGY ..................................................................................................... 14 3.4 STAKEHOLDER CONSULTATIONS AND FIELD SURVEY ........................................................................... 15 3.5 DESCRIPTION OF THE PROCESS FOR PREPARING AND APPROVING RESETTLEMENT ACTION PLANS (RAPS) ................................................................................................................................................... 16 3.6 RESETTLEMENT ACTION PLAN TYPES AND CONTENTS ......................................................................... 19 3.7 FULL RESETTLEMENT ACTION PLAN CONTENTS ................................................................................... 20 3.9 RESETTLEMENT ACTION PLAN APPROVAL PROCESS............................................................................. 21 3.10 RESETTLEMENT ACTION PLAN’S IMPLEMENTING AGENCIES................................................................ 22 3.11 RAP IMPLEMENTATION SCHEDULE....................................................................................................... 22 3.12 RESETTLEMENT ACTION PLANS MONITORING ..................................................................................... 22 4. PRINCIPLES GOVERNING RESETTLEMENTS PREPARATION AND IMPLEMENTATION................................ 24 4.1 THE ZAMBIAN LEGAL FRAMEWORK...................................................................................................... 24 SECTION 43 PROVIDES THAT, IF ANY DISPUTE SHALL ARISE RELATING TO:- ............................................... 29 4.2 WORLD BANK AND AFDB POLICY RESETTLEMENT REQUIREMENTS...................................................... 30 4.3 OVERLAPS AND GAPS BETWEEN THE ZAMBIAN LEGISLATION AND WORLD BANK POLICY 4.12 AND THE AFDB’S INVOLUNTARY RESETTEMENT POLICY ...................................................................................... 32 5. DEFINING PEOPLE AFFECTED BY THE PPCR PROJECT ACTIVITIES ............................................................. 34 5.1 DEFINITION OF AFFECTED PERSONS ..................................................................................................... 34 5.2 ELIGIBILITY CRITERIA............................................................................................................................. 34 5.3 PRINCIPLES FOR DEVELOPING ELIGIBILITY CRITERIA ............................................................................ 35 5.4 IMPACT ASSESSMENTS ......................................................................................................................... 36 6. METHODS OF VALUING AFFECTED ASSETS ............................................................................................. 37 6.1 BASIS OF VALUATION ........................................................................................................................... 37 6.2 METHODS FOR INVENTORYING ASSETS ................................................................................................ 37 6.3 ASSET VALUATION PRINCIPLES ............................................................................................................. 37 6.4 METHODS OF VALUING ASSETS ............................................................................................................ 37 Volume II Resettlement Policy Framework Page xi Pilot Program For Climate Resilience 6.5 THERESIDUAL METHOD ........................................................................................................................ 39 6.6 VALUATION OF IMMOVABLE PROPERTY AND LAND TENURE SYSTEMS ............................................... 39 6.7 OVERVIEW OF WB AND AFDB RECOMMENDED VALUATION METHOD ................................................ 39 7. ARRANGEMENTS FOR FUNDING RESETTLEMENT COMPENSATION ........................................................ 40 7.1 OPERATIONAL PROCEDURES ................................................................................................................ 40 7.2 SOURCES OF FUNDING ......................................................................................................................... 40 8. COMPENSATIONPAYMENTS ................................................................................................................... 41 8.1 COMPENSATION GUIDELINES............................................................................................................... 41 8.2 COMPENSATION COMPUTATION ......................................................................................................... 42 8.3 COMPENSATION PAYMENT PRINCIPLES ............................................................................................... 43 8.4 ENTITLEMENTS AND COMPENSATION MATRIX .................................................................................... 43 8.5 COMPENSATION PROCEDURES ..................................................................................................................... 45 9. DESCRIPTION OF GRIEVANCE REDRESS MECHANISMS............................................................................ 47 9.1 POTENTIAL GRIEVANCE/DISPUTES ....................................................................................................... 47 9.2 PROCEDURE .......................................................................................................................................... 47 9.3 UNRESOLVED GRIEVANCES AND DISPUTES .......................................................................................... 48 10. RPF/ RAP MONITORING ARRANGEMENTS.............................................................................................. 49 10.1 RPF MONITORING ..................................................................................................................................... 49 10.2 INTERNAL MONITORING ...................................................................................................................... 49 10.3 IMPACT MONITORING .......................................................................................................................... 49 10.4 EXTERNAL COMPLETION AUDIT............................................................................................................ 49 10.5 DEVELOPMENT OF VERIFIABLE INDICATORS ........................................................................................ 50 11. APPENDICES ........................................................................................................................................... 52 LIST OF TABLES Table 1: The potential resettlement related environmental impacts, mitigation measures and responsible authorities in the Barotse sub basin .................................................................................................................... 9 Table 2: The potential resettlement related environmental Impacts, proposed mitigation measures and responsible authorities in the Kafue sub basin .................................................................................................... 10 Table 3: Entitlements and Compensation Matrix ............................................................................................... 44 Table 4: Types of Variable Indicators .................................................................................................................. 50 LIST OF FIGURES Figure 1: RAP Preparation and Approval Process ................................................................................................ 18 Volume II Resettlement Policy Framework Page xii Pilot Program For Climate Resilience ACRONYMS AfDB African Development Bank BRE Barotse Royal Establishment CBO Community Based Organisation CC Climate Change CCFU Climate Change Facilitation Unit CEEC Citizens Economic Empowerment Commission CEEPA Centre for Environmental Economics and Policy in Africa CIF Climate Investment Fund COC Chamber of Commerce COL Commissioner of Lands COMESA Common Market for Eastern and Southern Africa CRICU Climate Resilience Investment Coordination Unit CRMA Climate Change Risk Management and Adaptation Strategy (AfDB Strategy) CSO Civil Society Organisation CSO Central Statistics Office CSSP Civil Society Support Programme ºC Degrees Celsius CV Climate Variability CTAS Copperbelt Technical Assessment Site DACO District Agricultural Coordinator DC District Commissioner DFID United Kingdom Department for International Development DDCC District Development Coordinating Committee DLGA Department of Local Government Administration DMMU Disaster Management and Mitigation Unit DPPH Department of Physical Planning and Housing DS Decentralization Secretariat DWA Department of Water Affairs EA Environmental Assessment ECZ Environmental Council of Zambia EIA Environmental Impact Assessment EIS Environmental Impact Statement EMP Environmental Management Plan EPB Environmental Project Brief EPPCA Environmental Protection and Pollution Act ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework FAO Food and Agricultural Organisation GDP Gross Domestic Product GEF Global Environmental Facility GNI Gross National Income GTZ German Development Corporation FSRP Food Security Research Program GRZ Government of Zambia GVD Government Valuation Department Ha Hectare Volume II Resettlement Policy Framework Page xiii Pilot Program For Climate Resilience HDI Human Development Index HIV/AIDS Human Immunodeficiency Virus/Acquired Immune Deficiency Syndrome HQ Headquarter(s) IBRD International Bank for Reconstruction and Development ICT Information and Communications Technology IDA International Development Agency IDP Integrated Development Plan IFMA Institutional and Financial Management Assessment ILUA Integrated Land Use Assessment IPA Irrigation Partnership Agreement IPCC Intergovernmental Panel on Climate Change ITT Itezhi Tezhi Dam KGL Kafue Gorge Lower KGU Kafue Gorge Upper LA Local Authority LAPS Local Area Plans LD Lands Department LDC Least Developed Country MACO Ministry of Agriculture and Cooperatives MCDSS Ministry of Community Development and Social Services MDB Multilateral Development Bank MDG Millennium Development Goal MEWD Ministry of Energy and Water Development MFNP Ministry of Finance and National Planning MLGH Ministry of Local Government and Housing mm Millimetres MoL Ministry of Lands MoF Ministry of Finance MTENR Ministry of Tourism Environment and Natural Resources MW Megawatts MWS Ministry of Works and Supply MTC Ministry of Communications and Transport M&E Monitoring and Evaluation NAPA National Adaptation Programme of Action NCC National Council for Construction NCCDC National Climate Change Development Council NCCT National Climate Change Country Team NDMP National Disaster Management Plan NCO National Coordination Office NGO Non-Governmental Organization NHCC National Heritage Conservation Commission NHS National Health Service NIP National Irrigation Plan NPE National Policy on Environment OP Office of the President OVP Office of the Vice President PACO Provincial Agricultural Coordination Officer PAP Project Affected Persons Volume II Resettlement Policy Framework Page xiv Pilot Program For Climate Resilience PDCC Provincial Development Coordinating Committee PMU Project Management Unit PPCR Pilot Program for Climate Resilience PPCR-SC Pilot Programme for Climate Resilience Sub Committee PPP Public Private Partnership PPPU Public Private Partnership Unit PRA Participatory Rapid Appraisal PS Permanent Secretary RAP Resettlement Action Plan RDA Road Development Agency RDC Resident Development Committee REDD Reducing Emissions from Deforestation and Forest Degradation RPF Resettlement Policy Framework SADC Southern Africa Development Community SCF Strategic Climate Fund SD Survey Department SESA Strategic Environmental and Social Assessment SMS Short Message Service (By Phone) SNDP Sixth National Development Plan SOW Scope of Work TA Technical Assistance TC Technical Committee TICPA Town and Country Planning Act TOR Terms of Reference TTL Task Team Leader UN United Nations UNDP United Nations Development Programme UNFCCC United Nations Framework Convention on Climate Change USD United States Dollar WB World Bank WFP World Food Programme WUA Water Users Association ZAMSIF Zambia Social Investment Fund ZBS Zambia Bureau of Standards ZCCN Zambia Climate Change Network ZCSN Zambia Civil Society Network ZEMA Zambia Environmental Management Agency ZESCO Zambia Electricity Supply Corporation ZMD Zambia Meteorological Department ZMK Zambia Kwacha ZNFU Zambia National Farmers’ Union ZVAC Zambia Vulnerability Assessment Committee % Percentage Volume II Resettlement Policy Framework Page xv Pilot Program For Climate Resilience 1. INTRODUCTION The World Bank and AfDB standards for financing development projects in the perspective of International Best Practice (IBP) requires the preparation of a Resettlement Policy Framework leading to putting up a Resettlement Action Plan (RAP) where physical displacement of people and communities is anticipated and/or where such displacement takes place on the basis of development. In PPCR, projects having most adverse social impacts are understood under the component involving infrastructure development. However, here the canals and roads already exist so their rehabilitation is not likely to cause any direct resettlements. 1.1 RESETTLEMENT POLICY FRAMEWORK PURPOSE AND OBJECTIVES The most important concerns of the RPF are to ensure that, where land acquisition is anticipated obligatory and related adverse impacts cannot be avoided, affected or displaced persons are compensated for lost assets. This RPF for PPCR must therefore provide procedures and methods to identify and compensate the affected or displaced persons. The specific objectives of this Resettlement Policy Framework are to: i) Minimize and mitigate impacts of involuntary resettlement resulting from all components of subprojects under PPCR. ii) Ensure that people adversely affected by subprojects are fully compensated for loss of assets, livelihoods, access rights, etc. and successfully relocated, the livelihoods of displaced people are re-established and the standard of living improved. iii) Ensure that no impoverishment of people shall result as a consequence of compulsory land acquisition or acquisition of assets, for purposes of implementing PPCR subprojects. iv) Assist adversely affected persons in dealing with the psychological, cultural, social and other stresses caused by compulsory land acquisition. v) Make all affected persons aware of processes available for the redress of grievances that are easily accessible and immediately responsive. vi) Have in place a consultative, transparent and accountable involuntary resettlement process with a time frame agreed to by the subproject implementer and the affected persons. vii) Provide adequate assistance in form of transport, temporary accommodation, housing, training capacity building, service provision etc. to the project affected persons (PAPS) Although this RPF describes some environmental impacts which will occur as a result of proposed roads and canals project activities, it does not apply to their environmental issues per se but to resulting involuntary resettlement, land acquisition, and restriction of access to means of livelihood and social support networks. As such this RPF clarifies the principles for social impact mitigation with regards to compensation for loss of property, livelihood and relocation or resettlement. The operational framework is to Volume II Resettlement Policy Framework Page 1 Pilot Program For Climate Resilience provide guidelines to stakeholders participating in the mitigation of adverse social impacts of the project, in order to ensure that Sub-Project Affected Persons (SAPs) will not be impoverished by resettlement. Best Practice implies that SAPs should be compensated for any attendant loss of livelihood; compensated for loss of assets at replacement costs; given opportunities to share project benefits; and be assisted in case of relocation or resettlement. Ideologically, the purpose is to restore the income earning capacity of the PAPs with the aim of improving or at the very least sustaining the living conditions of the PAPs prior to project operations or to resettlement. PAPs must be no worse off than prior to resettlement. Also critical to the resettlement process is that the PAPs are involved, through appropriate consultation, in drawing up the resettlement plans that affect them. It should be noted that even where there is no physical displacement but people lose access to assets, such as land for farming, the requirements to produce and implement a RAP are full filled. 1.2 PROJECT DESCRIPTION The Government of the Republic of Zambia (GRZ) has received support from the IBRD and AfDB to fund two Investment projects under the Pilot Programme for Climate Resilience (PPCR). The Investment projects are (i) Strengthening Climate Resilience (PPCR phase II) Project in the Barotse Sub-Basin (Administered by the World Bank), and (ii) A complementary project Administered through the African Development Bank focusing on similar interventions but in the Kafue sub-basin. The PPCR is an integral part of the global Pilot Programme on Climate Resilience (PPCR) funded by the Climate Investment Funds (CIFs). The geographical scope of the two investment projects will stretch across 16 pilot districts out of 28 in both basins. In the Barotse Sub basin the pilot districts are Kalabo, Kaoma, Lukulu, Mongu, Senanga, Shang’ombo, Sesheke and Kazungula, while in the Kafue Sub basin the districts selected as pilots are Chibombo, Kafue,Choma, Itezhi-tezhi,Mazabuka, Monze,Mumbwa and Namwala. 1.2.1 Project Aims and Objectives The aim of the proposed Investment projects is to strengthen Zambia’s institutional framework for climate resilience and to improve the adaptive capacity of vulnerable communities in the selected pilot areas of the Barotse and Kafue sub basins. The specific objectives are: i. to mainstream climate change adaptation into national and local area plans and strategies; ii. to assist communities in highly vulnerable areas of the two sub-basins, to identify and address their own climate change adaptation options as part of their local development plans; iii. to incorporate climate resilience into existing community development funds to ensure sustainability; iv. to invest in highly visible infrastructure as a way to rally public support for adaptation; Volume II Resettlement Policy Framework Page 2 Pilot Program For Climate Resilience v. to build on partnerships, particularly with the private sector and civil society to use the transformative power of communication technologies to enhance climate resilience in the two sub- basins; and finally vi. To strengthen the institutional foundation for a future climate change programme in Zambia. At project completion, it is expected that the Investment projects shall lead to the following outcomes: i. That Zambia will have a fully operational National Climate Change and Development council or equivalent institution, effectively coordinating climate change, funding programs and projects, through its own efforts. ii. The Government will have increased its budgetary allocation in support of iii. Climate resilient programmes in vulnerable sectors (agriculture; natural resources, transport, health, water and energy, and disaster risk management) by 25 present over the 2007-2012 baseline. iv. That, at least two thirds of the households in targeted districts, wards and communities in the two Su-basins will have used the information, planning tools and resources provided by the projects to respond to climate change and variability. v. That the design and management of up to 5 important traditional canals in the Barotse sub basin will have been strengthened to near optimum flow (0.6m/s ) to allow for improved resilience during the flood and dry seasons. vi. That selected farm to market access rural roads and other basic Agriculture infrastructure in the Kafue Sub basin shall be Climate proofed by the application of design parameters and codes to strengthen their ability to withstand floods and droughts. 1.2.2 Description of Project Components and Sub-Components The (SPCR) Strategic components, for both the Barotse and Kafue Su-Basins are: 1. Participatory Adaptation 2. Climate Resilient Infrastructure 3. Strategic National Programme Support These components are complemented by sub–components to reflect variation in Project implementation priorities in the two sub-basins as described below. 1.2.3 Investments in the Barotse Sub- basin In the Barotse sub-basin, project implementation will be through the following components :( 1) Strategic National Programme Support (2) Support to Pilot Participatory Adaptation and (3) Pilot Participatory Adaptation. Volume II Resettlement Policy Framework Page 3 Pilot Program For Climate Resilience 1. Comp0nent (1) Strategic National Programme Support This component is national in scope, and builds on institutional strengthening started under PPCR Phase 1. It consists of two sub–components; the first provides institutional support to Zambia’s emerging National Climate Change and Low Resilience Programme, and the second focuses on strengthened climate information and awareness. Sub Component (1.1) Institutional Support to National Climate Change programme This sub component will be implemented directly by the National Secretariat for Climate Change and would strengthen the umbrella institutional support enabling project activities. The sub- component will support the following activities: (i) Mainstreaming climate Resilience into key national sectoral policies plans and programs and provides specialised technical assistance and workshops to develop screening guidelines for key departments in line Ministries to screen key policies for climate resilience. (ii) Institutional strengthening through selection of national champions for post graduate training degrees and specialized short term training at international centres of excellence. (iii) Management of External resources and Climate risk Financing and funding to the National Climate change secretariat for project management costs such as Audits and M&E. Sub Component (1.2) Strengthened Climate Information This sub-component will support improved early warning and climate information at national and pilot sites through provision of technical assistance, equipment, training, workshops and operating costs for: (I) Social marketing awareness campaigns aimed at the general public and key decision makers (ii) strengthened Early warning system in both the Barotse and Kafue sub-basins, involving two way communication between line agencies and local communities and (ii) Development of an open Data platform to facilitate sharing of hydro-metrological, geospatial, and climate vulnerability and risk assessment amongst decision makers. Component (2) Support to Pilot Participatory Adaptation The focus of this component is to support local Government and community groups in the Barotse Su-Basin to incorporate climate risk management principles into local development planning. It will be coordinated by the Chief Provincial Planner with support from the Barotse Royal establishment. Activities under this component would include: Volume II Resettlement Policy Framework Page 4 Pilot Program For Climate Resilience (a) Facilitation and strengthening community decision making, using experienced NGO partners already working in the targeted districts to sensitise and train targeted wards and community/farmers’ groups in developing climate resilient plans which identify local adaptation priorities. (b) Assist targeted districts with training in financial management, procurement, safeguards and monitoring and evaluation, as well as provide the needed equipment vehicles and incremental operating cost for field operations. Component (3) Pilot Participatory Adaptation This component will deal with funding actual participatory adaptation investments through sub- grants, and will be implemented through two sub components, the first focusing on priority investments identified through climate resilient planning done by communities themselves, and the second focusing on optimising the drainage functions of traditional canals in the Barotse flood plain. Sub-component (3.1): Community adaptation sub –grants Targeting about 130,000 beneficiaries in 8 districts and 26 wards of the Barotse sub basin, this sub- component will fund adaptation options identified through mainstreamed Integrated Development Plans (district level grants), Local Area Plans( ward level grants) and participatory planning (community level grants). The sub grant process will be demand driven, and channelled directly to the beneficiaries once they met the requisite eligibility criteria. Sub-component (3.2) Rehabilitation and strengthened management of traditional canals This sub-component focuses on strengthening the management of about 5 traditional canals to optimise their use in climate resilience. Given the cultural and economic importance of these canals to the Barotse Royal establishment, rehabilitation will be guided by the following principles: (a) Strict observance and collaboration with traditional management structures, (b) Respect and conformity with the floodplain’s status as a Ramsar site and proposed World heritage Site (c) Assessment of water resources and hydraulic design (d) Minimise environmental and social impacts (including on riparian’s downstream) (e) Maximise the use of local labour, particularly benefiting the most vulnerable households (f) Ensure the maintenance of an optimal flow regime to control sedimentation, reduce maintenance requirements, and sustain water transport routes for longer periods of the year. Volume II Resettlement Policy Framework Page 5 Pilot Program For Climate Resilience 1.2.4 Investments in the Kafue Sub-basin In the Kafue sub basin, project interventions focuses on the following area sectors and themes. (1) On production systems which emphasize diversification and intensification in agriculture, and natural resources innovations at community level, (2) on climate proofing infrastructure, by applying design parameters and codes that would strengthen rural roads to withstand floods and drought (3) Capacity building focused on institutional strengthening at the local level. Component (1) Participatory Adaptation This component will provide a platform to strengthen adaptive capacity of poor rural communities and natural resources based production systems that are vulnerable to the impacts of climate change in the Kafue Sub –Basin. It would support community based adaptation initiatives selected by communities through a demand driven process with the help of NGO’S working with local government. It will operate under two (2) sub components. Sub-Component (1.1).Integrated Community-Based Adaptation Under this sub-component, Community level infrastructure projects will be identified and upgraded to withstand severe floods or droughts, while opening up opportunities that will stimulate entrepreneurship and bolster income generation activities for the communities. Focus will be on micro projects for flood control and diversion structures, water reservoirs and improved wells. The sub component will also support farm level support systems such as conservation agriculture training, fertility management, seeds for drought and flood resistant crop varieties etc. and matching grants for climate change adaptation Investments Sub-Component (1.2) Support to participatory Adaptation This sub-component will support local government and community groups in each district to incorporate climate risk management principles into local area planning. Support will also be given to local non- governmental organisations to mobilise, train and facilitate communities in risk and vulnerability assessment. Component (2): Climate Proofing Road Infrastructure This component focuses on the climate proofing of farm –to-market access roads in an effort to strengthen the climate resilience of vulnerable roads and minimise the exposure of the road investment to climate risk. “The component will support strategic access roads in the Kafue river Basin which will include: (I) Kalomo Dundumwezi (ii) Itezhi-Tezhi to Dundumwezi through Ngoma and Nanzhila and (iii) Namwala to Itezhi-tezhi. These roads serve as farm to market access roads as well as a link to Kafue National Park. The foregoing components and sub-components will be complemented by an IFC supported investment project, on Private Sector Support to Climate Resilience, and a parallel project that will be funded by the Nordic Development Fund to support climate resilient infrastructure. These climate resilient interventions are expected not only to lead to sustainable diversification of livelihoods and to the reduction of poverty in the sub-basins, but also promote the protection of Volume II Resettlement Policy Framework Page 6 Pilot Program For Climate Resilience the environment in the context of climate variability. Most projects envisioned under this programme will be small-scale in nature designed to be driven by communities at local level. However, even with such small projects and with such good intentions, the unintended environmental and social impacts of such sub-projects and programmes no matter how small will invariably occur. In some cases, the impacts might require people to be resettled. It is against this background that the Resettlement Policy Framework (RPF) has been developed. 1.3 COMPONENTS NEED FOR RPF 1.3.1 Need for RPF under Participatory Adaptation Participatory Adaptation will address adaptation challenges at the community level. The objective of participatory adaptation is to strengthen the adaptive capacity and livelihoods of vulnerable farmers and rural communities to climate change and variability in priority areas of the Kafue and Barotse sub-basins. The investments under the Participatory Adaptation are demand-driven and will be selected by communities during the implementation stage of the projects (see above). The sub-project initiatives under Participatory Adaptation are envisaged to have low social impacts in general that are likely not to cause resettlement pressures due to the small scale of projects and the eligible list of projects sets forward only sustainable activities. This means that under this component the RPF is not likely to be of relevance. 1.3.2 Need for RPF under Climate Resilient Infrastructure This component of the PPCR targets highly visible climate resilient infrastructure in the two sub- basins in order to harness public support and awareness raising and public support for climate change adaptation. The component has identified strategic canals in the Barotse Sub-Basin and access roads in the Kafue River Basin. The PPCR sub-projects have low likelihood to trigger Resettlement Action Plans due to the nature of the sub-projects involved being rehabilitation of already existing canals and roads. During the rehabilitation of some key road networks in Kafue sub-basin, there may be disturbances related to natural assets located along the routes but given these are not new projects, most of these impacts have been already dealt with when the roads and canals were originally planned and implemented. The canal rehabilitation in Barotse sub-basin may have impacts on local fishermen, and possibly grazing area usage, but these would not cause resettlements. The improved canals can have indirect impacts through increased water traffic such as increasing the pressures on local forest reserves which can be mitigated by promoting alternative materials for boating. Volume II Resettlement Policy Framework Page 7 Pilot Program For Climate Resilience 2. IDENTIFIED POTENTIAL RESETTLEMENT RELATED ENVIRONMENTAL IMPACTS 2.1 GENERAL SOCIO-ECONOMIC CHARACTERISTICS OF THE PILOT AREAS The PPCR target areas include traditional villages inside and immediately outside the Project Areas, and farming settlements especially in ecological regions III of the Kafue sub-basin. The key characteristics of these settlements are as follows: 2.1.1 Traditional Villages: These are small settlements of between 3 and 50 households although the deviation maybe significant between areas in western province and those of North-western and Southern provinces. Housing in these regions is relatively modest and services limited. 2.1.2 Human Settlements: These villages may include ‘unauthorised’ settlements along road reserves historically who may have settled as immigrant families seeking economic opportunity on road sides. 2.1.3 Livelihoods in Villages: Many residents in the Project Impacted Area have to deal with depressed local economies and few opportunities for formal employment. As noted earlier, the impacts of climate change especially on climate sensitive sectors such as agriculture superimpose the situation where a large rural (and to some extent urban) population have limited access to anything but basic employment under any circumstances, low illiteracy levels, limited and few marketable skills. In general, households in the Kafue and Barotse sub-basins communities have multiple sources of livelihood. This is in part a reflection of the presence of several potential income earners in many households (larger households would tend to have more income earners). Analyses make distinctions between monetary and non-monetary income. Non-monetary income is important because it measures production and activity that serves the household and the community without exchange of cash. Subsistence production and household consumption of food crops is accounted for under non-monetary income. 2.1.4 Local Land Tenure and Transfer Practices: Zambia’s land tenure system is relatively well defined. The system and local practices underpinning the allocation and transfer of land for subsistence agriculture is particularly pertinent to the RAP. In this case, allocation and transfer is in the hands of the relevant Chiefs and or the government agencies (Ministry of Lands or the Local Council). Volume II Resettlement Policy Framework Page 8 Pilot Program For Climate Resilience 2.2 BAROTSE SUB BASIN POTENTIAL RESETTLEMENT RELATED ENVIRONMENTAL IMPACTS, MITIGATION MEASURES AND RESPONSIBLE AUTHORITIES The potential resettlement related environmental impacts, mitigation measures and responsible authorities in the Barotse sub basin are shown in the table below. Table 1: The potential resettlement related environmental impacts, mitigation measures and responsible authorities in the Barotse sub basin Environmental Impacts Mitigation Measures Responsible Authority Water Pollution The Water quality will improve The Local Authorities in the area Water quality in the canals would be once the canals rehabilitations Councils & relevant Government affected by canal rehabilitation works. are completed. Departments. Socio Economic Development. Ministry of Agriculture and MAL, PDCC, and DDCCS, NGOs, Agriculture production would be promoted Livestock and the Councils and CBOs and the Local Communities once water logged areas are sustainably other stakeholders should and the BRE drained and affected lands utilized for intensify the development agriculture activities. activities in the area once the canals are rehabilitated Contamination from chemical fertilizers Limiting the use of chemical MAC, PDCC, DDCCs, BRE, NGOs, and pesticides fertilizers and encouragement of CBOs and the local Communities. the use of cattle manure and Contamination of water and soils could other biological manuring result from the use of chemical fertilizers systems. and pesticides aimed at increasing agricultural production in the area. Soil Erosion Enforcement of both traditional PDCC, DDCCs, BRE, and other Inappropriate and ineffective land use and statutory land use practices relevant stakeholders. planning and Implementation would result which protects the land and soils in local people building settlements and from soil erosion and prevents structures on fragile canal banks which the abuse of canals and would cause soil erosion vandalization of their embankments Improved Transportation cleared canals Canal rehabilitation is a very Ministry of Finance, would provide easy passage for canoes important aspect of the Barotse Ministry of Transport and and motorized small boats needed for the sub basin development in the Communication, PDCC, DDCC, BRE transportation and movement of people, area which should be facilitated and other stakeholders. goods and services to and from the area. by all relevant Authorities and stakeholders through their involvement in the planned schemes. Promotion of Tourism. All efforts must be made by all PDCC, DDCCs, BRE and all the The clearing of canals in the Barotse Plains relevant stakeholders to facilitate relevant stakeholders. would assist in the promotion of tourism in Tourism in the area as it is one of the area by facilitating easy movement of the Barotse Sub Basin’s boats and canoes during the Traditional development niche Kuomboka Ceremonies in Mongu, Kalabo and Senanga Districts when Traditional Enforcement of applicable Laws Leaders move from their flooded summer and Regulations by relevant palaces to their winter palaces in the Authorities to sustainably upland areas. maintain the canals in good condition all the time Volume II Resettlement Policy Framework Page 9 Pilot Program For Climate Resilience 2.3 KAFUE SUB BASIN ENVIRONMENTAL IMPACTS, PROPOSED MITIGATION MEASURES AND RESPONSIBLE AUTHORITIES The next table below shows the potential resettlement related environmental Impacts, proposed mitigation measures and responsible authorities in the Kafue sub basin. Table 2: The potential resettlement related environmental Impacts, proposed mitigation measures and responsible authorities in the Kafue sub basin Environmental Impacts Mitigation Measures Responsible Authority Air and noise pollution Adhering to stipulated road District Councils, Road design, construction, Development Agency (RDA), During the road construction activities maintenance and Zambian Environmental there will be dust and noise from environmental standards. Management Agency (ZEMA). earth moving construction equipment and traffic on the roads which will cause air and noise pollution which are harmful to human health. Loss of biodiversity Environmental Impact Road Development The removal vegetation on land to Assessment (EIA) should be Agency(RDA), Zambia give way for road construction would carried out in affected areas to Environmental Management result in the loss of biodiversity. The determine the extent of Agency (ZEMA), World Bank removed vegetation could be vital for biodiversity that need to be and the African Development livelihoods of the local communities in lost in order to construct the Bank(AfDB) terms of firewood, medicinal plants, proposed roads. The EIA wild fruits and other vegetation should be carried out as per related edibles like caterpillars. the specifications of the ZEMA Act and approved by ZEMA and the World Bank before road construction commences Soil erosion Following stipulated road Road Development Agency Soil erosion in the area could be construction standards and (RDA), Zambia Environmental caused by bad road construction i.e. environmental standards Management Agency (ZEMA) poor road design, implementation and removal of vegetation land cover. Loss of land Environmental Impact Road Development Agency The Construction of roads in the Assessments (EIA) should be (RDA), District Councils, project areas in the Kafue sub basin carried out and approved Traditional Authorities, Zambia could result in the loss of land, which before road construction Environmental Management will be taken away from the local commences. Agency (ZEMA), World Bank community for use as road camps and and the African Development quarry sites and pits for provision of Bank(AfDB) road construction materials. The lost Compensation of land land could be currently used for occupiers and owners should various uses such as agriculture, be compensated adequately as forestry, grazing lands etc. per the Zambian Laws, World Bank and African Development Bank Safe Guards before road construction commences. Social and economic development. Social and economic Ministry of Finance, Ministry Communications including development is needed in the of Transport and transportation of people, goods and Kafue sub basin. In this regard Communications, PDCC, DDCC, services will be easier once the road road construction which will RDA, World Bank, AfDB. construction in the area has been facilitate easy communications Volume II Resettlement Policy Framework Page 10 Pilot Program For Climate Resilience Environmental Impacts Mitigation Measures Responsible Authority completed. In this regard trade, and transportation should be commerce and overall economic facilitated. development of the affected area will be promoted HIV/AIDS Sensitization of both locals and Ministry of Health, District The planned road project activities in incoming road construction Councils, AfDB, RDA the Kafue Sub basin area are likely to workers is needed to ensure expose both the locals and the that they protect themselves workers in the area from outside to and those who they get in HIV/AIDS through contacts with those contact with from HIV/AIDS who are infected by the disease The Government through various Agencies have embarked on HIV/AIDS campaigns nationwide and these are on-going in all the districts and chiefdoms in Zambia Water and land pollution Environmental Impact ZEMA, AfDB, World Bank, RDA Assessments (EIA) of the Water and Land pollution in the Kafue proposed road activities in sub basins proposed road relation to water and land construction project areas could occur pollution activities should be due to exposure to traffic and carried out and approved associated fuels, lubricants and oils before commencement of the which contaminate the affected soils projects as per ZEMA, ADB and before finding their way into the river other relevant local and systems international protocols and regulations Volume II Resettlement Policy Framework Page 11 Pilot Program For Climate Resilience 3. RESETTLEMENT ACTION PLAN PREPARATION REVIEW AND APPROVAL 3.1 TERMS OF PREPARATION OF THE RESETTLEMENT POLICY FRAMEWORK In line with the World Bank’s involuntary Resettlement Policy OP 4.12 and the AfDB involuntary Resettlement Policy, the Zambian Government is required to prepare the Resettlement Policy Framework (RPF) to be disclosed before project appraisal. The guidelines contained in this RPF are based on relevant Zambian legislation and World Bank and African Development Bank policies on involuntary resettlement and land acquisition, which recognizes compensation for loss of assets or income as a fundamental right of all sub-project affected persons. It is also a requirement of the AfDB’s Resettlement policy that the Borrower prepares a Full Resettlement Plan (FRP) for any project involving 200 or more people who would need to be displaced, with the reduction of livelihood due to loss of assets and access to assets. It is also a requirement of the AfDB’s Resettlement policy that a Full Resettlement Plan be released as a supplement document to the Environmental and Social Assessment (ESIA) summary for the Bank’s financial involving involuntary Resettlement. According to the Policies of the WB, ‘affected people’ refers to the people who are directly affected socially and economically by Bank assisted investment projects. The AfDB involuntary Resettlement Policy defines affected Population as “those who stand to lose, as a result of the project all or part of their physical and non-physical assets such as homes, communities, productive land resources such as forests, rangelands, fishing areas, important cultural sites, commercial properties, income earning opportunities and social and cultural networks and activities.  involuntary alienation of land and other assets resulting in: o Relocation or loss of shelter, o Loss of assets or access to assets; and o Loss of income sources or means of livelihood whether or not the affected persons must move to another location or not.  Involuntary restriction or access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. The nature of the subproject activities for the PPCR may require land acquisition for the construction of infrastructure such as rehabilitation of canals and infrastructure among others resulting in the resettlement and compensation of displaced people. 3.1.1 Resettlement and Compensation Guidelines While all persons affected by the PPCR sub-projects are to be treated equally, both the World Bank policy and AfDB resettlement policy recognise that the vulnerable groups such as the elderly Volume II Resettlement Policy Framework Page 12 Pilot Program For Climate Resilience and women-headed households should be entitled to a special benefit package in addition to compensation entitlement. This RPF will establish resettlement and compensation guidelines and design criteria to be applied to the sub-projects which will be prepared during project implementation in compliance with the Zambian law and the World Bank’s and the ADFB policy on involuntary resettlement. The following are some guidelines which should be followed in the implementation of this RPF and the Resettlement Action Plans:  The RPF is applicable to all PPCR components, whether or not they are funded in whole or part by the Banks.  The RPF policy also applies to displaced persons regardless of the total number involved, severity of the impact, ethnicity, race or colour, legal title to the land and those who may not be protected through the Zambian compensation legislation.  Where feasible, involuntary resettlement and land acquisition should be avoided or minimized by exploring all viable alternatives.  Where relocation or loss of shelter occurs, measures to assist displaced persons should be implemented in accordance with a plan of action for resettlement and compensation.  The planning and implementation of the resettlement process will be conducted in a consultative manner with those to be displaced.  Absence of legal title to land should not be a basis for compensation and Resettlement assistance.  Displacement or restriction to access should not occur before necessary measures for resettlement and compensation are in place. Apart from compensation, these measures should include provision of other assistance required for relocation, prior to displacement, and preparation and provision of settlement sites with adequate basic facilities.  The displaced must be relocated to areas with basic amenities like schools, potable water, health facilities, etc.; and all affected persons and entrepreneurs or institutions should be assisted to restore their incomes and livelihood sources to at least pre-resettlement levels. Particular attention will be paid to the needs of the elderly, women and children, the handicapped, and the landless, among other vulnerable groups.  Wherever possible, those impacted by involuntary resettlement should be considered for employment in various project activities including construction works and provision of other services. 3.2 RESETTLEMENT POLICY FRAMEWORK STRATEGIES The following strategies have been defined for setting the RPF in PPCR projects as per needed:  The AfDB involuntary Resettlement guidelines stipulates the following among others that the needs of the disadvantaged groups such as the landlers, female headed households, children, the elderly, minors, ethnic religious and linguistic and other vulnerable groups be prioritized in involuntary resettlement development schemes.  Application of economic benefits and cost to determine projects resettlement flexibility.  The total cost of project should include the full costs of resettlement activities which are necessary to the achievement of the project’s objectives. Volume II Resettlement Policy Framework Page 13 Pilot Program For Climate Resilience  The PAPS improvements in their living standards resulting from resettlement should also apply to the host communities.  Resettlement activities will be a participatory process guided by informed participation.  Resettlement Action Plans (RAPs) will be produced and published in the National language (English) and local national languages, namely: Lozi in the Barotse Sub – Basin, Tonga, Kaonde and Bemba in the Southern, Central, Copperbelt and North-western Provinces. The RAPs documents will be made available by Ministry of Finance at the Provincial, District, and Council Offices involved in the Project activities upon request.  RAPs will describe all measures for aimed at restoration/out right improvement of the livelihoods of affected persons and will include an annual budget for implementation of resettlement and other related activities.  All affected people will be entitled to compensation for lost assets. They will be paid a replacement cost agreed between themselves and Ministry of Finance (MOF). The compensation will be based on the valuation done by the Government Valuator from the Ministry of Local Government and Housing or a Registered Valuation Firm, and will either be the market value or other value dependent on negotiations between the two parties and witnessed by a third party. Compensation will also be provided for loss of access rights, livelihoods, etc.  Whenever possible, land for land, as close as possible to the homestead. Should be provided as part of compensation.  Ownership of the compensated land/or property will be transferred to the state or sub- project beneficiaries by agreement.  If the affected land is under tenancy, both the landowners and tenants as affected persons will be eligible for compensation and entitlements.  Compensation for loss or potential loss of crops and trees should be calculated as annual net product value multiplied by the number of years for a new crop to start producing.  The seriously affected people should be at least well off than they were before the project.  Exclusive mechanisms will be developed to protect the economically vulnerable.  Priority for employment arising from project activities will be given to affected persons loosing assets.  A functional mechanism for resolving conflict arising out of the resettlement process will be established. 3.3 OVERVIEW OF RPF METHODOLOGY The following preparation process for RPF is suggested when needed: It is a requirement of the ADFB’s involuntary Resettlement policy that the Borrower prepares a full resettlement plan (FRP) for any project involving 200 or more people who would need to be displaced with reduction of livelihood due to loss of, and access to assets. World Bank requires a Resettlement Action Plan if a project requires acquisition of land, impacts on economic activities, or restricts access to natural resources and a Resettlement Policy Framework has been prepared. Volume II Resettlement Policy Framework Page 14 Pilot Program For Climate Resilience I. Assembly of official documentation dealing with social and economic issues in the Project Impacted Areas (PIAs). Key material includes literature to gain insight into the World Bank and Zambian policy and legal framework, and to review similar work done both in Zambia and elsewhere in the sub-region. II. Socio-economic surveys, baseline studies, and other forms of quantitative and qualitative data (i.e. health statistics available at district level). III. Consultations with PAPs and members of PAP households. IV. Interviews with key informants (District Agriculture Coordinators, Disaster Mitigation Management Unit members, Meteorological staff) in Project Impacted Area, covering areas such as the local economy, labour dynamics and employment, agriculture, mining, land administration, municipal services, health, education, business, and non-government and community-based organizations (NGOs and CBOs). Among the stakeholders contacted were several Government Ministries and Departments, officials from the Ministry of Finance, Ministry of Lands, Ministry of Local Government & Housing, Relevant Provinces and Districts. Others engaged in collecting information include Parastatal organizations including Zambia Electricity Supply Corporation (ZESCO), Road Development Agency (RDA) and Zambia Consolidated Copper Mines (ZCCM), the Zambia Environment Management Agency (ZEMA), the Resettlement Department in the Office of the Vice President, the relevant Municipal and District Councils. V. Focus group discussions including the aged, women and youths in possible PIAs where numerous issues should be raised relating to local economy, climate change impacts and expected priority projects under PPCR. Issues to determine the degree of integration and participation of various local stakeholders in local social and economic were particularly noted. 3.4 STAKEHOLDER CONSULTATIONS AND FIELD SURVEY The process included introductory meetings organized by the PPCR Secretariat and a stakeholder participation event. A key element of the consultations was the field survey which was undertaken in August and September 2012. Field work comprised of site visits to 9 districts. These involved group meetings with the communities, focus group discussions, and key informant and stakeholder interviews. Community meetings held (see annex 1) in the selected districts included discussions on the impacts of climate change and local sites which were highly sensitive to climate change. Highlights of the discussion are summarised below.  Most of the sub-projects will be community-demand-driven and generally small scale in terms of scope and impact;  There was little apprehension regarding the loss of land as the sub-projects are still to be identified during phase two.  No major resettlement-related impacts were foreseen from the proposed subprojects on the local community’s activities such as:  fishing,  aquaculture, Volume II Resettlement Policy Framework Page 15 Pilot Program For Climate Resilience  crop production,  livestock rearing and small-scale dairy farming,  grazing lands,  access roads, and canals,  other livelihood activities for example: beekeeping, honey production, processing of peanut butter and crafts production Where the need for any resettlement or compensation may arise as a direct result of the sub- projects that will be implemented under the PPCR, extensive consultations and involvement of stakeholders in the preparation and implementation of the RPF and RAPs will be undertaken. These consultations will involve: BRE in the Barotse Sub-basin, and traditional leaders in the Kafue Sub-basin, the SPIU, the provincial and district administration, local area development committees, NGOs, CBOs, small-scale farmers and members of communities. As the sub-projects (or the exact locations or sites), have not been identified at this stage, no detailed discussions were held in terms of:  the importance of the RPF and RAPs in the sub-project implementation;  people who would be affected and in what way;  assets that would be impacted by the sub-projects  compensation provision and eligibility criteria  details of RAPs procedures It was noted that once the individual sub-projects have been identified they will be screened to determine whether the sub-projects would involve the acquisition of land of displacement of populations. Once the need for RAPs has been established this would be undertaken using this RPF as a guideline. 3.5 DESCRIPTION OF THE PROCESS FOR PREPARING AND APPROVING RESETTLEMENT ACTION PLANS (RAPS) According to the World Bank Operational Policies on involuntary resettlement, and the African Development Banker’s Involuntary Resettlement policy and guidelines, preparation of a resettlement instrument is a condition for appraising projects involving involuntary resettlement. In case of programs/projects with sub-projects, 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 (WBOP 4.12) and AfDB’s Resettlement Policy (2003). People who are affected and are eligible will have to be compensated before any implementation is commenced as per World Bank OP 4.12, AfDB’s involuntary Resettlement Policy (2003) and this RPF. The acquisition of land and the related assets may take place only after the displaced persons have been paid compensation; and resettlement sites and moving allowances, where applicable, provided. It is also a requirement of the WB OP 4.12 policy and the AfDB’s involuntary Resettlement policy and guidelines that measures to assist the displaced persons be implemented Volume II Resettlement Policy Framework Page 16 Pilot Program For Climate Resilience as per the sub-project’s resettlement plan of action, where there is loss of shelter and need for relocation. 3.5.1 Screening Mechanism for Resettlement Action Plans Resettlement Action Plans which would be prepared for each sub-project involving compensation or resettlement shall include measures to ensure compliance with policy directives. Furthermore, the implementation schedule of these policy measures should ensure that no individual or affected household would be displaced by sub-project’s civil works activity before compensation is paid and resettlement sites with adequate facilities prepared and provided to them. See figure 2 for the steps in the screening mechanism. 3.5.2 Scope of Resettlement Action Plans Overall responsibility for preparing a resettlement action plan for each sub project will lie with the Ministry of Finance (MOF). The MOF shall ensure that a Resettlement Action Plan that conforms to this RPF and to the requirements of the World Bank OP 4.12 the AfDB’s involuntary Resettlement policy is prepared. The RAP is a detailed time bound plan of action plan outlining the following among others: - resettlement objectives, strategic options, responsibilities, approvals, entitlements, actions; and monitoring and evaluation. The process to be followed in preparing a RAP shall involve several steps as outlined in the following sections. 3.5.3 Preliminary Assessments of a Sub-project The proponent of a sub project shall examine whether any environmental study is required for the type of sub project being proposed. The initial assessments and surveys at this stage should include (I) potential social impacts, (ii) direct consultations with individuals and groups who are expected to be directly affected by the sub-project activities; and (iii) identification of the major population groups that may be affected by the proposed project. These surveys and assessments at this preliminary stage would form the basis for preparing the terms of reference for the RAPs Social Assessment Component. 3.5.4 Preliminary Information Preliminary information is required to be provided to MoF (or anybody designated by MOF, by the proponent of the sub-project on the proposed project as early as possible. The required information shall include a description of the nature, scope and location of the proposed sub project, accompanied by location maps and any other details as may be required by the MOF. If the preliminary information submitted to MOF should indicate that the project has potential involuntary resettlement, such as involving taking of land which might result in physical displacement of persons, loss of assets, loss of livelihood or restriction of resource use, then this RPF is triggered and a RAP needs to be prepared, as indicated in the process described in the figure below. Volume II Resettlement Policy Framework Page 17 Pilot Program For Climate Resilience Figure 1: RAP Preparation and Approval Process Volume II Resettlement Policy Framework Page 18 Pilot Program For Climate Resilience 3.5.5 Socio-economic Baseline Census This shall be carried out to provide baseline data on various factors including the following:-  Identification of current occupants of the affected area, to establish the basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;  Standard characteristics of impacted households, including a description of production systems, labour, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the impacted population;  The magnitude of the expected loss of assets, total or partial, and the extent of displacement, physical or economic;  Information on vulnerable groups or persons for whom special provisions may have to be made;  Land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area;  The patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project;  Public infrastructure and social services that will be affected; and  Social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups; and Non- Governmental Organizations (NGOs) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. The preliminary assessments and information and the socio-economic baseline census will assist in determining the cut-off date, period of registration of claims and valuation of land and immovable assets. 3.6 RESETTLEMENT ACTION PLAN TYPES AND CONTENTS If the preliminary assessments (scoping and screening exercises) indicate the need for involuntary resettlement, then a RAP shall be prepared in accordance with this Resettlement Policy Framework, World Bank Safeguard Policy the AfDB’s involuntary resettlement policy and the relevant Zambian legal requirements. The preparation of the RAP may be outsourced to a specialist by PPCR secretariat, who should in that case prepare the terms of reference for the preparation of the RAP. The various types of RAP are as follows: Volume II Resettlement Policy Framework Page 19 Pilot Program For Climate Resilience 3.6.1 Comprehensive Resettlement Action Plan 3.7 This applies to any project or sub project that involves involuntary resettlement and for which a Resettlement Policy Framework has been prepared. FULL RESETTLEMENT ACTION PLAN CONTENTS If two hundred or more people are affected and project activities resulting in involuntary resettlement policy then the Comprehensive RAP will be prepared The contents of a full RAP will be prepared for 3.6 full Resettlement Action Plan contents. 1. Project description 2. Guiding principles for resettlement 3. Process for developing subsequent resettlement action plan 4. Overview of potentially affected population • Number of potentially affected people • Demographic and social economic profile • Income services and livelihood practices in the subproject area 5. Eligibility criteria • People to be affected • Grievance redress if required for people already affected 6. Legal frameworks • Host country legal requirements • World Bank policies and procedures 7. Methodology for valuation of assets and potential loss of all other income opportunities and assets. 8. Alternative income generation opportunities 9. Income restoration plans for specific subprojects 10. Organisational responsibilities 11. Implementation process 12. Grievance redress mechanism 13. Finding and cost of resettlement 14. Consultative mechanisms 15. Monitoring of resettlement 3.8 CONSULTATIONS DURING RESETTLEMENT ACTION PLANNING AND IMPLEMENTATION Consultations with the stakeholders including the affected people will be an integral part in the RAPs preparation, implementation and monitoring processes at all stages as follows: 3.8.1 Consultation Mechanisms Consultation is a continuous process from earlier stages of the RAP and throughout the implementation. After the approval of a RAP the community, landholders and other PAPs would be informed of their involvement in resettlement, compensation, appropriation of land other aspects of RAPs implementation and monitoring. Volume II Resettlement Policy Framework Page 20 Pilot Program For Climate Resilience The SPIU, Provincial Administration and DTOs in which the sub-projects are being implemented would notify the PAPs and other stakeholders like Villagers or Village Headmen and the Chiefs through verbal and written notices about land acquisition matters in the subproject areas. There are various structures that are to be utilised for facilitating consultation and relaying information. Communication is through headmen, government extension staff (e.g. camp/block officers) who often use a range of interest groups. Examples of such groups include:  Village meetings under headmen  Agricultural Cooperatives (including marketing associations, producer associations)  Joint Forestry Management Committees  Area Development Committees  Community Resources Boards,  Resource User Groups (e.g. beekeeping groups, crafts associations)  Water Users Associations  Youth/women’s clubs  Other special interest groups Some of these interest groups may be organised through NGOs, CBOs and FBOs. Means of communication include:  Verbal announcements/messages (including use of mobile phones) through face-to-face interactions  Community radio/ TV (where available)  Written notification 3.9 RESETTLEMENT ACTION PLAN APPROVAL PROCESS MOF through the PPCR secretariat or its delegated agency shall ensure that the draft RAP is made available at a place accessible to displaced persons, local NGOs, and other interested parties in a form, manner and language that are understandable to them once a draft RAP has been prepared. The Draft RAP shall be transmitted to the World Bank for appraisal and review at the same time. The World Bank shall also make the RAP available to the public through its Info-Shop. The World Bank and MOF shall disclose the RAP again in the same manner. RAP implementation will commence once the World Bank is satisfied with the public disclosures and has approved the RAP. Volume II Resettlement Policy Framework Page 21 Pilot Program For Climate Resilience 3.10 RESETTLEMENT ACTION PLAN’S IMPLEMENTING AGENCIES The overall responsibility of monitoring and evaluating the RAP activities shall lie with PPCR Secretariat, while the World Bank shall periodically supervise the Resettlement Action Plan activities to ensure compliance with the RAP provisions. The Resettlement Specialist or assigned Environmentalist shall be responsible for the overall smooth implementation of the RAPs, while Human Settlements Planners based at the Provincial level and District Council Office at District level shall be responsible for the smooth implementation of RAP’s in their areas. 3.10.1 Screening and Preliminary Assessments People affected will be consulted and participate in the required assessments once the proponent of a sub-project has identified the need to undertake an environmental study. In this regard meetings will be held with stakeholders including affected groups to discuss potential resettlement issues. 3.10.2 Social and Economic Baseline Census The affected community members and other interested parties will be involved in the planning and implementation of social and economic studies needed for the preparation of the RAPs. 3.10.3 Preparation and Implementation of Resettlement Action Plans In the process of preparing and implementing the RAPs, representatives of the affected people will input their concerns in the processes through discussions on the potential costs of implementing the planned activities, enforcing the RPF provisions, mitigating impacts, rescheduling where necessary, and timing of RAP activities. 3.11 RAP IMPLEMENTATION SCHEDULE Resettlement Action Plans should have their time-frames aligned to those of the PPCR in order to ensure that resettlement sites are provided with adequate facilities and compensation prior to impacting PAPs. For successful implementation and as agreed between the Resettlement and Compensation Committee the DDCC, the relevant Council and the Project Management Team; each RAP schedule should include the following:-  Time-frames for transfer of completed civil works to relevant agencies,  Target dates for starting and completion of civil works  Dates for possession of land which the PAPs are using, after payment of compensation and other necessary assistance and before any resettlement activity commences; and  Linkages between RAPs and the sub-projects, overall activities and implementation. 3.12 RESETTLEMENT ACTION PLANS MONITORING There shall be both internal and external monitoring of the RAP activities. Internal monitoring of the day-to-day operations of the resettlement program shall be done by the implementing agency whilst external monitoring shall be done by the monitoring agency designated under PPCR to carry out external monitoring of PPCR. Volume II Resettlement Policy Framework Page 22 Pilot Program For Climate Resilience Volume II Resettlement Policy Framework Page 23 Pilot Program For Climate Resilience 4. PRINCIPLES GOVERNING RESETTLEMENTS PREPARATION AND IMPLEMENTATION This section of the RPF reviews the national legislation that is relevant to the PPCR Sub-project project activities, and assesses the adequacy of national legislation in terms of the policy principles of this RPF. The legal framework relating to resettlement issues consists of the various pieces of Zambian legislation, World Bank safeguard policy and AfDB Involuntary Resettlement. This section presents both aspects and identifies overlaps and gaps between the two and outlines measures to close the gaps. 4.1 THE ZAMBIAN LEGAL FRAMEWORK Zambia's legal framework for matters related to the compulsory acquisition of property, in particular land and the alienation of land is provided for in the Constitution, Land Act, and the Land Acquisition Act. While these three Acts provide the basis for land acquisition, various other national laws of Zambia define the authority and responsibility of specific sectoral agencies. However, suffice to mention that there is currently no specific law or policy pertaining to involuntary resettlement in Zambia. The existing policies and arrangements only deal with voluntary resettlement. What exist are various pieces of legislation that provide guidance regarding legal provisions for resettlement. Below are legal statutes that have provisions pertaining to resettlement. 4.1.1 Constitution of Zambia Zambia's legal framework regulating the taking of land and other assets by the State has its basis in the Constitution of Zambia, Chapter 1; Article 16 of the Constitution of Zambia provides for the fundamental right to property and protects persons from the deprivation of property. It states that a person cannot be deprived of property compulsorily except under the authority of an Act of Parliament, which provides for adequate payment of compensation. The Article further provides that the Act of Parliament under reference shall provide that, in default of agreement on the amount of compensation payable, a Court of competent jurisdiction shall determine the amount of compensation. The Constitution further provides that nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of the clause which requires that authority be obtained under an Act of Parliament which provides for payment of adequate compensation to the extent that it is shown that such law provides for the taking possession or acquisition of any property or interest on the land or right over the land. 4.1.2 The Land Act, Chapter 184 The Act controls the alienation of land and shall govern the acquisition of land for the PPCR sub- projects. It shall also give guidance in procedures for the conversion of land from customary tenure to statutory. Volume II Resettlement Policy Framework Page 24 Pilot Program For Climate Resilience The Act empowers the President of the Republic to compulsorily acquire property. The principles of compensation are pivoted on the basis that the value of property for the purpose of compensation shall be the value of the amount which the property might be expected to realize if sold on the open market by a willing seller at the time of the publication of notice to yield possession of the property. 4.1.3 Land Tenure System in Zambia As land alienation might be a part in the implementation of PPCR activities, it is useful to outline the Zambian land tenure system in order to appreciate the alternative ways in which land can be accessed for the PPCR project purposes. Land tenure is the way in which rights in land are held and in Zambia tenure is categorised into two tenure systems namely, statutory tenure and customary. Statutory tenure refers to state Land which is administered by the Lands Commissioner through Local Authorities on behalf of the President since all land in the Country is vested in the Republican President on behalf of the Zambian people. The President of Zambia holds the Country’s land in perpetuity on behalf of the Zambian people. The President has delegated his powers to make and execute grants and disposition of land to the Commissioner of Lands. The Commissioner has agents who plan the land into plots and thereafter select and recommend suitable candidates to him/her for issuance of a certificate of title. The Commissioner’s Agents in this regard, are the District, Municipal, and City Councils. These agents use the Town and Country Planning Act to plan the land in their areas in their capacities as Planning Authorities under the Act. 4.1.4 The Customary Tenure Customary Tenure applies in areas under the jurisdiction of Traditional Authorities (chiefs/chieftainesses). The Traditional System of tenure is the most prevalent among the majority of Zambians who live in the rural areas of the Country. Approximately 94% of Zambia’s land is officially designated as customary Area. The area is home to 73 Tribes, headed by 240 chiefs, 8 Senior Chiefs and 4 Paramount Chiefs. Tenure under customary lands does not allow for exclusive rights in land. No single person can claim to own land as usually the whole land belongs to the Community. In this regard Land is deemed as belonging to Members of the Community for their own use (Republic of Zambia, 1995). In Zambia land is considered a valuable heritage for the whole Community. As is the case in many African Countries, in Zambia Communal lands have sprung from the concept of ancestral trust committed to the living for their own interest and for the interest of the unborn. This is embedded in a common West African dictum which says: I conceive of land as belonging to a vast family of whom many are dead, a few are living and Countless are still unborn. People holding land are thus doing so in trust for ancestors and for those who are not yet born and also the community as a whole. (Nigerian herder) (Lane, 1998) Volume II Resettlement Policy Framework Page 25 Pilot Program For Climate Resilience It is the duty of Traditional Rulers to ensure that every Member of his or her Country capable of owning land is allocated land. The issue of access, as in State land, is tied to capability. However, being capable is entirely up to the discretion of the Chief. This has often led to dissatisfaction among the members of the Community, the most vulnerable groups being women, youths and the disabled (Zambia Land Alliance, 2005). Customary Land ordinarily cannot be used as collateral, as in many cases there are no legal defined physical boundaries, as required under the Land Survey Act. Thus Customary Lands are prone to encroachments which often result in land disputes. Customary land in Zambia which accounts for over 70% is now very much in demand for the Country’s development. 4.1.5 Land Delivery System in Zambia The following 2 sections outline the processes for acquiring title to land from State land and from customary land. These guidelines will be useful for land access at some sites of the PPCR project activities. 4.1.6 State land The system to acquire titled land from state land is as follows:  The District, Municipal or City Council identifies an area for which a layout plan is made, subdividing the identified land into several plots. In the case of agricultural land, the relevant Departments in the Ministry of Agriculture and Cooperatives and the Resettlement Department under the Vice President’s Office are responsible.  The layout plan is endorsed and stamped by the appropriate Planning Authority that later transmits the endorsed plan to the Lands Department for scrutiny and verification of the planned land’s availability.  If the planned land is available, the plan is approved and transmitted to the Survey Department for surveying and numbering as per the Land Survey Act.  Upon receipt of numbered and surveyed plots, the relevant Authorities advertise them to the public after which applicants are interviewed.  Selected applicants are recommended for further consideration and approval by the Office of the Commissioner of Lands, who is the final authority to grant title to land. 4.1.7 Customary land The customary land delivery system is as follows:  The prospective developer approaches the Chief or Chieftains of the area for consent to hold land on leasehold tenure and obtain certificate of title.  Where the Chief or Chieftainess is satisfied that the land being requested for is available (unoccupied), s/he writes a consent letter to the office of the Council Secretary, with the land’s location site plan, drawn by the local planning authority attached.  The Chief’s consent letter and attached site plan are taken to the relevant Council Secretary who endorses and stamps the document(s).  The Council Secretary arranges for the land in question to be inspected by a committee which deals with land matters in the area.  The committee interviews the applicant. Volume II Resettlement Policy Framework Page 26 Pilot Program For Climate Resilience  If the applicant is successful, the Council Secretary brings the application to the full council for consideration.  If the council approves the application, they will recommend to the Commissioner of Lands the allocation of the unnumbered plot to the applicant. The application forms, site plans and council minutes are attached to the recommendation letter which certifies that the recommended plot is free of settlement by other subjects in the jurisdiction of the Chief/ Chieftainess. If satisfied, the Commissioner of Lands approves the application. For land in excess of 250 hectares, the Commissioner of Lands is required to seek clearance from the Minister of Lands before approval. 4.1.8 Lands Acquisition Act Chapter 189 of the Laws of Zambia Section three of the Lands Acquisition Act empowers the President of the Republic to compulsorily acquire property. Sections 5 to 7 of the Act provides for the issuing of notices to show the intention to acquire, notice to yield up property and to take up possession. Section 10 of the Act provides for compensation as consisting of such moneys as may be agreed from moneys appropriated for the purpose by Parliament. Furthermore, this section provides that where the property to be compulsorily acquired is land, the President, with the consent of the person entitled to compensation shall in lieu or in addition to any compensation payable under the section, grant other land not exceeding the value of the land acquired. Under the Lands Acquisition Act, the value of the property for purposes of compensation shall be the value of the amount which the property might be expected to realize if sold on the open market by a willing seller at the time of the publication of the notice to yield up possession of the property. Section 11 of the Lands Acquisition Act provides for the settlement of the disputes relating to the amount of compensation in the High Court. Part VI of the Lands Acquisition Act (Cap. 189) provides for the establishment of Compensation Advisory Board to advise and assist the Minister in the assessment of any compensation payable under the Act. Other functions of the board, its operations and constitution are also prescribed in the Act. 4.1.9 The Local Government Act Chapter 281 The Act provides for the System of local government administration in Zambia at city, municipality and district council levels. Each level has delegated statutory functions with respect to development planning and participatory democracy. Therefore the Act shall guide in the distinguishing of the project site with regard to their location. The laid procedure in the acquisition of land for subprojects shall be determined by the provisions of both this Act and the Lands Act. Volume II Resettlement Policy Framework Page 27 Pilot Program For Climate Resilience 4.1.10 The Town & Country Planning Act Chapter 283 The Act provides for Ministerial powers to appoint Planning Authorities to prepare Structural, Regional, integrated development and layout plans to guide physical urban and rural development in Zambia. This Act currently applies to State land areas only, but it is soon to be replaced by the Urban and Regional Planning Act which will be applicable to both State and Traditional Lands in both Urban and Rural Areas. 4.1.11 The Public Roads Act (2002) Section 18(3) of the Public Roads Act gives authority to the Road Development Agency to enter upon any land for the purpose of extraction of material for road function. It further provides for compensation to be paid to the affected if such land owner / occupier of such land is on title. In 2003, the Environmental Management Unit in the Roads Development Agency (RDA) developed “Involuntary Resettlement Framework Guidelines� for the Road Sector. The guidelines provide institutional framework for responding to involuntary resettlement in Zambia arising from road sector operations in the Country. It specifies that the RDA will play a leading role in the District roads, the Agency will be the lead agency and will play the role of carrying out social survey and related assessments and ensuring the participation of other stakeholders such as the project affected communities, individuals and Non-Governmental Organizations. Under the Guidelines RDA is supposed to be responsible for overseeing the implementation process and ensuring the compensation and rehabilitation mechanism is implemented adequately�. The Agency also notes livelihood assessments and enumeration of affected persons (Environmental Management Unit, 2003). Section 18 (5) of the Act allows the land/owner occupier to submit some written request to the Agency for any expense or loss that may be incurred if such land is appropriated. Section 18 (6) states that in the event of failure to agree upon the amount of compensation the matter shall be decided by arbitration in accordance with the Arbitration Act. The Act under section 18 (7) provides a number of conditions which shall form the basis for assessment of properties or envisaged losses that are the subject of disagreements. 4.1.12 Department of Resettlement: The Department of Resettlement in the Vice President’s Office is charged with the responsibility for actual resettlement process by carrying out the following functions:  Identification and acquisition of land for resettlement.  Demarcation of farm plots.  Processing of applications for resettlement.  Allocation of settlement farm plots to suitable applicants.  Recommending deserving settlers to acquire certificate of titles to their farm plots from the Commissioner of Lands  Co-coordinating provision of infrastructure in resettlement programme schemes. Volume II Resettlement Policy Framework Page 28 Pilot Program For Climate Resilience 4.1.13 The Agricultural Lands Act This Act provides for the establishment of the Agricultural Lands Board and for tenant farming schemes. The act empowers the Minister, by statutory notice, to declare any state land and, with the consent of the registered owner as Subsection 5 of section 21 provides that such a lessee shall use his holding primarily for agricultural purposes, for purposes ancillary thereto and for the personal residence of himself and his family and necessary staff and for no other purpose. Subsection 1 of section 40 permits a tenant who obtains approval from the Agricultural Lands Board to make improvements to a holding at his own expense. Improvements which are permitted are those which are reasonably required for the management, improvement or development of the holding. Only improvements which are approved by the Agricultural Lands Boards qualify for compensation. Section 43 provides that, if any dispute shall arise relating to:-  (a) The amount of any compensation, not being an ex gratia payment;  (b) Any valuation for an option to purchase a holding; and  (c) Any valuation for a state grant; such dispute may be referred to arbitration under the provisions of the Arbitration Act. 4.1.14 Arbitration Act No. 19 of 2000 This Act provides for arbitration in cases where the land owner/occupier does not agree with the amount of compensation being offered. Under section 12 (2) of the Act, the parties to arbitration are free to determine the procedure for appointing the arbitrator or arbitrators. Section 12 (3) (b) states that if the parties are unable to agree on the arbitration, another arbitrator shall be appointed, upon request of a party, by an arbitral institution. 4.1.15 Environmental Impact Assessment Regulations of 1997 Environmental Impact Assessment Regulations (1997) are promulgated under the Zambia Environmental Management Agency (ZEMA) Act 2010. The First Schedule of Regulation 3 specifies which type of developments requires a project brief. It specifies that all major roads outside the urban areas, the construction of new roads and major improvements over 10km in length or over 1 km in length, if the road passes through a National Park or Game Management Area, requires a project brief and/or an environmental impact statement. Regulation 10 provides for public consultation by the developer before submitting the environmental impact statement to the Council. The developer should seek the views of the people in the communities which will be affected by the project. The developer shall: Publicize the intended project, its effects and benefits in the mass media in a language understood by the community for a period of not less than fifteen days and, thereafter, at regular intervals throughout the project implementation schedule. After the expiration of fifteen days referred to above, hold meetings with affected communities in order to present information on the project and obtain views of those concerned. Regulation 11 provides for the contents of environmental impact statements to include:- Volume II Resettlement Policy Framework Page 29 Pilot Program For Climate Resilience  The social and economic impact of the project, such as resettlement of affected people;  Socio-economic and cultural considerations such as effects on generation or reduction of employment in the area, social cohesion or resettlement and local economic impacts; and  Effect on land uses and land potential in the project area and surrounding areas. 4.1.16 The Zambia Wildlife Act No. 12 of 1998  Section 32 of the Zambia Wildlife Act provides that any activity or plan which is likely to have an adverse effect on any wildlife species or community in a National Park, Game Management Area or Open Area shall be subjected to a wildlife impact assessment as required by the Zambia Wildlife Authority (ZAWA) Act. Where resettlement would have or is likely to have an impact on wildlife, a wildlife impact assessment would be required under this Act. 4.1.17 Land Survey Act The Land Survey Act provides for the surveying of lands and properties before they are numbered, allocated and registered. 4.1.18 Land Conversion of Title Act This Act provides for the alienation, transfer, disposition, and change of use of land. The Act also provides for compulsory acquisition of land by the President wherever he is of the opinion that it is desirable or expedient to do so in the public’s interest. 4.1.19 The Forest Act of 1973 This Act provides for the establishment and management of National and Local forests, conservation and protection of forests and trees; and licensing and sale of forest products. The Act also provides for the involvement of local communities and the private sector in the planning, management and utilization of forest resources and the sharing of costs and benefits obtained from the open and forest reserves. 4.1.20 The Valuation Surveyors Act Cap 207 This Act provides guidance for the valuation practice in Zambia and the requirement that for one to practice as a Valuer he is supposed to be registered under the provisions of this Act by the Valuation Registration Board. 4.1.21 Lands Tribunal The Tribunal was established in Zambia in order to speed up the Settlement or prevent land disputes in the Country. 4.2 WORLD BANK AND AfDB POLICY RESETTLEMENT REQUIREMENTS The World Bank safeguard policy OP 4.12 and AfDB Involuntary Resettlement relates to the administration of resettlement issues in the event of project activities inducing displacement of people and disrupting their livelihoods. The policies might apply to some sub-project activities of the PPCR. Volume II Resettlement Policy Framework Page 30 Pilot Program For Climate Resilience 4.2.1 WB OP 4.12/AfDB’s Involuntary Resettlement Stipulations According to the World Bank’s safeguard policy OP 4.12,and the AfDB’s Involuntary Resettlement policy particular attention should be given to the needs of vulnerable groups such as the poverty stricken, the landless, the elderly, widows, child-headed households and other disadvantaged persons. It is also a requirement of the policies that provision of compensation and other assistance be effected prior to people’s displacement. This implies that acquisition of land for PPCR activities can only take place after those affected have been compensated. In this regard, resettlement sites, new homes and related public infrastructure, public services and moving allowances will be provided to the affected persons and incorporated in all displacement action plans. In addition, the Banks’ policies offer the impacted persons an opportunity to improve their livelihoods and living standards through the participation in the planning preparation and implementation of RAPs. The WB and AfDB’s policy:  Resettlement or displacement should be avoided wherever possible or minimized in this regard all viable alternative project designs should be considered before finally deciding on displacement.  Resettlement or displacement activities should be conceived as sustainable development programmes, providing sufficient investment resources to enable the person displaced by the project activities to shore in project benefits.  Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least restore them, in real terms to pre-displacement levels or to those prevailing prior to the beginning of project implementation whichever is higher. The World Bank OP 4.12 and AfDB’s involuntary resettlement policy also stipulates that the RPF and RAPs should include measures to ensure that the displaced persons are safeguarded as follows:-  They should be informed about their options and rights pertaining to resettlement or displacement.  They should be consulted, offered choices and provided with technically and economically feasible resettlement alternatives.  They should be provided with prompt and effective compensation at full replacement cost for loss of assets attributed directly to the project. The resettlement plan or resettlement policy framework should include measures to assure that the displaced persons are : o Provided with assistance, such as transport and other allowances during relocation. o Provided with residential housing or housing sites or as required agricultural sites for which a combination of productive potential, location advantages and other factors are at least equivalent to the advantages of the old site. o Offered support after displacement, for a transition period, based on a reasonable estimate of time likely to be needed to restore their livelihood and standards of living. o Provided with development assistance in addition to compensation measures such as land preparation, credit facilities or job opportunities. Volume II Resettlement Policy Framework Page 31 Pilot Program For Climate Resilience 4.3 OVERLAPS AND GAPS BETWEEN THE ZAMBIAN LEGISLATION AND WORLD BANK POLICY 4.12 AND THE AfDB’s INVOLUNTARY RESETTEMENT POLICY 4.3.1 Overlaps There are many similarities between the Zambian law and the World Bank’s OP 4.12 and the AfDB’s resettlement policy. The overlaps include:-  the requirement to pay compensation in advance where land is compulsorily acquired  Compensation based on full market value or through grant of another plot of land or building of equal quality, size and value.  avoidance wherever possible, impacts on forest reserves, national parks and other fragile ecosystems,  the requirement to compensate for losses whether temporary or permanent in production or damage to productive assets and crops; and  Provision for the rights of appeal and other judicial avenues for resolution of disputes. 4.3.2 Gaps The following gaps exist between the World Bank Op 4.12the AFDB’S involuntary resettlement policy provisions and the Zambian legislation:  Comprehensive resettlement planning. There is no requirement under the Zambian law for the preparation of a comprehensive formal resettlement action plan (RAP) including carrying out a census, social economic survey, consultations with project affected people, monitoring, reporting, etc. The Town and Country Planning legislation which deals with issues of human settlements and development in Zambia does not refer to involuntary settlement but only to the removal of squatters on state lands needed for urban expansion and development.  Compensation eligibility in Zambia. Under the Zambian law, only people and entities with title deeds are entitled to compensation e.g. those with registered third party rights or those who have legally obtained the right to register but have not yet completed registration.  Under World Bank’s OP 4.12 and the AfDB’S involuntary resettlement policy illegal land users without title to the land are entitled to compensation for land use and affected structures on it (but not compensated for land). In some cases of illegal development, compensation is provided on discretional basis on case by case basis.  Compensation and resettlement assistance. The current Zambian law provides for the payment of compensation at market value for losses of land, buildings, crops and other damages arising from the acquisition of land for project activities. Under the Zambian law, moving costs or rehabilitation support to restore previous levels of livelihoods or living standard are not recognized, and there is no government agency charged with that responsibility.  Property measurement. Under the Zambian law, compensation is equal to the market value of the property without reference to depreciation. On the contrary, under the World Bank Safeguard and the AfDB’s resettlement policy compensation for lost properties will be calculated on the basis of full replacement cost i.e. equal to what Volume II Resettlement Policy Framework Page 32 Pilot Program For Climate Resilience enables the project affected people (PAP) to restore their livelihoods at the level prior to resettlement/ displacement.  Income restoration. The current Zambian law does not recognize compensation for lost income contrary to the World Bank’s OP 4.12and the AfDB’s resettlement policy provision which requires that lost income due to project activity should be compensated. 4.3.3 Measures to close the Gaps The following are proposed measures to close the GAPS: (see Appendix for details)  Streamlining the compensation review process under the Zambian law to ensure that approvals are consistent with those required by the World Bank and the AfDB for timely sub-project approval and implementation.  The PPCR secretariat should develop a valuation and compensation procedure that allows the delegation of authority and decision making to the local level in the case of sub- project activities that have minimal resettlement impacts.  MoF as the Government of the Republic of Zambia implementing Agency for the SPSR has to formally agree to implement the policy principles of this RPF as stated and consistent with World Bank OP 4.12and the AfDB’s resettlement policy. Harmonisation of the three legal provisions is a cardinal measure as the primary aim of this RPF is to improve the livelihoods of the PAPs beyond the original status of their economic, social and cultural well-being as provided for under WB’s OP 4.12and the AfDB’s resettlement guidelines on compensation. As noted, the RPF requirements are based on the policies of the World Bank (WB), the African Development Bank (AfDB) and Zambian national legislation. In cases where the measures to close the gaps between the MDBs and the Zambian requirements are considered to be inadequate, the requirements and guidelines of the World Bank and the African Development Bank will be followed during the implementation of the sub-projects. Volume II Resettlement Policy Framework Page 33 Pilot Program For Climate Resilience 5. DEFINING PEOPLE AFFECTED BY THE PPCR PROJECT ACTIVITIES 5.1 DEFINITION OF AFFECTED PERSONS Persons affected include:  Involuntary taking of land;  Relocation or loss of shelter;  Loss of assets or access to assets; or  Loss of income sources or means of livelihood, whether or not the affected persons must move to another location; Affected persons, therefore, are those persons who, as a direct consequence of a subproject under PPCR would, without their informed consent or power of choice either: (a) physically relocate or lose their shelter, (b) lose their assets or access to assets, or (c) lose a source of income or means of livelihood, whether or not they physically relocate to another place. 5.2 ELIGIBILITY CRITERIA Upon identification of the need for involuntary resettlement in a subproject, the subproject proponent will carry out a census to identify the persons who will be affected by the subproject. This will help the subproject proponent to determine who will be eligible for assistance early enough in the project cycle. It will also help to prevent an inflow of ineligible people living outside the subproject area of impact but who might want to take advantage and claim for assistance. The completion of the census will mark the cut off-date for eligibility for compensation. Those who will come into the area after the cut-off date will not be eligible for compensation. For purposes of determining eligibility criteria, displaced persons may be classified in one of the following three groups, depending on the type of right they have to the land they occupy:  Any person(s) with formal legal rights to land. According to Zambia's land tenure system; this group consists of two types of people. Firstly, there are those with a 99-year renewable leasehold of state land. These have title deeds and the land they own has legally recognizable commercial value. Secondly, there are those who occupy land under the customary land tenure system. This land is controlled and allocated to them by traditional authorities (chiefs). The owners do not have title deeds but they have a 'customary' legal claim to it. They may not involve themselves in land transactions without the consent of the chief. Under the PPCR sub-projects, the majority of people likely to affected are those under this category.  Any person(s) who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets. This group of people mostly comprises those who have bought land or other immovable property but have not yet completed the process of acquiring title deeds. The other group consists of those in legally established voluntary Volume II Resettlement Policy Framework Page 34 Pilot Program For Climate Resilience resettlement areas who have not yet reached the retirement age at which point they become eligible for title deeds.  Those who have no recognizable legal right or claim to the land they are occupying. The African Development Bank Resettlement policy provides for the following:  Compensation for loss of assets using a participatory approach at all stages of project and implementation  Placement of the needs of the disadvantaged groups such as the landless, female headed households, children, linguistic groups, minority ethnic and religious groups etc. out the centre of the involuntary resettlement development approach  Application of economic benefits and cost to determine projects resettlement flexibility These are mostly encroachers into state land or those who might occupy customary land without permission or recognition by the local authority (chief). 5.3 PRINCIPLES FOR DEVELOPING ELIGIBILITY CRITERIA The subproject proponent is required to develop a procedure, satisfactory to PPCR secretariat, AfDB and the World Bank, for establishing detailed criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. In developing such a procedure, the subproject proponent should follow the following principles: The process of developing the procedure must include provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, non-governmental organizations (NGOs), and stakeholders. A continuous stakeholder consultation must also be established to guide the RAP preparation and implementation stages. Those who have formal legal rights to land and 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 must be provided compensation for the land they lose, and other assistance, where necessary, such as: 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; development assistance such as land preparation, credit facilities (for component 3 sub-projects), training, or job opportunities in addition to compensation measures. Those who have no recognizable legal right or claim to the land they are occupying should be provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, if they occupy the project area prior to a cut-off date established by the project proponent and acceptable to PPCR Secretariat and the World Bank and the African development Bank. Resettlement assistance may consist of land, other assets, cash, employment, and so on, as appropriate. All persons included who qualify for compensation must be provided compensation for loss of assets other than land. Volume II Resettlement Policy Framework Page 35 Pilot Program For Climate Resilience 5.4 IMPACT ASSESSMENTS This policy covers direct economic and social impacts that both result from Bank-assisted investment projects and are caused by: I. the involuntary’ taking of land resulting in:  Relocation or loss of shelter;  Loss of assets or access to assets; or  Loss of income sources or means of livelihood, whether or not the affected persons must move to another location. II. The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. This policy applies to all components of the project resulting in involuntary resettlement regardless of the source of financing. It also applies to other activities resulting in involuntary resettlement, which, in the judgement of the Bank are: I. Directly and significantly related to the Bank-assisted project; II. Necessary to achieve its objectives as set forth in the project documents, and III. Carried out, or planned to be carried out contemporaneously with the project.  Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be taken to restore their livelihood and standards of living. Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar arrangements; and  Provided with development assistance in addition to compensation measures described above, such as land preparation, credit facilities, training, or job opportunities. Volume II Resettlement Policy Framework Page 36 Pilot Program For Climate Resilience 6. METHODS OF VALUING AFFECTED ASSETS 6.1 BASIS OF VALUATION The law and practice in Zambia advocate Market Value as Basis for Valuation. In this RPF, valuations of natural and physical assets are meant to capture the compensatory value to mitigate against infringing on basic human rights in terms of access to property. All the three PPCR components and their respective sub-projects will employ the valuation approach to set asset value for compensation for the affected persons. 6.2 METHODS FOR INVENTORYING ASSETS Inventorying refers to the listing of assets in order to determine the value of each asset item and, consequently, the total value of assets. Inventorying requires that each asset item is expressed in an appropriate unit of measure. Examples of unit of measure include hectare for agricultural land, acre or square meter for residential plots and item count (each) for buildings and structures. The requirement to express assets in appropriate units for valuation purposes also entails that compound assets are separated and counted or added using appropriate units. An example of a compound asset is a piece of land on which a crop, such as maize, is still standing on it un- harvested. Proper inventorying requires that quantity of land is counted and expressed in its appropriate unit (i.e. hectare) and the quantity of maize crop (expected to be harvested) is also expressed in an appropriated unit (e.g. 50-kilogram bag). Once the asset listing has been produced, the replacement cost of each unit of asset category is then determined. The unit replacement cost for each asset category is the one that is multiplied by the quantity of asset holding in each category. 6.3 ASSET VALUATION PRINCIPLES In considering asset valuation, it is important to first agree on what is to be considered an asset. In this RPF, the term asset is being used in the sense of an advantage or resource that is available to an individual or household. As such, assets can be divided into five categories:  Natural assets such as land and water;  Material assets like household assets,  Financial / business assets, such as main income, peripheral income and informal and formal credit and business enterprise;  Human assets such as labour availability, and access to education and skills;  Social asset, which include informal support networks, support and interest groups and ability to participate in grassroots democracy. 6.4 METHODS OF VALUING ASSETS During the implementation of Sprang where resettlement is an issue, the following methods of valuing assets will be used. The value (cost) reached by these methods would be equivalent to replacement value (cost). There are four major valuation methods used to value property in practical use in Zambia summarized in the following chapters. Volume II Resettlement Policy Framework Page 37 Pilot Program For Climate Resilience 6.4.1 Investment Method The Investment Method treats 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 have to be made wherein come is determinable. 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. Investment Method of Valuation is not common in Zambia. Crop Compensation Rates are determined by the yielding capacity of the individual crop over a number of years, taking into account the cost of producing the crop and marketing. 6.4.2 Direct Comparison Method The method will be used to value assets by comparing it with similar property being sold in the vicinity. 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. The common units used are like:  Agricultural land: ha, square meter, number of trees;  Vacant buildable land: ha, sq. m, standard plot;  Houses: floor area measured in sq. m, rooms;  Shops and houses: floor area measured in sq. m, rooms;  Industrial property: floor area measured in m2; and  Schools, hospitals, school place, bed space, seats, etc. Adjustment may have to be made for age conditions or location. For instance, a small farm in the same location would command a comparable price be in hectares of farm land near town. 6.4.3 Replacement Cost Approach In this approach, value can be arrived at by u s i n g the cost approach where market sale and rental information is not available. The assumption is that the price is equivalent to the cost for replacing the asset with an equivalent one plus a reasonable and fair profit margin. The method is commonly used in valuing public properties like school play grounds, community halls and health centres. Costs may be obtained basing upon the actual construction cost if the works have been recently completed, tender price, and bills of quantities prepared by a quantity surveyor, estimates prepared by contractor, rough estimates based on unit costs, e.g. cost per m 2 ,m3beds pace, etc. And estimates of materials and labour costs prepared by the Valuer after consulting local experts and suppliers. Additionally, the method also considers professional fees for architectural, engineering and other technical services, interest during construction and other charges like land rent, plan approval fees and developer’s profit when appropriate. The method can be used when valuing partly completed buildings. Volume II Resettlement Policy Framework Page 38 Pilot Program For Climate Resilience 6.5 THE RESIDUAL METHOD The R es id ua l Method ta k e s a hypothetical approach by seeking to predict what the value of property will be at some point of time in the future. It is usually used to value property that is just beginning to be developed. The method is based on the theory that the value of an asset is determined by the benefit or future income streams it will yield. 6.6 VALUATION OF IMMOVABLE PROPERTY AND LAND TENURE SYSTEMS Valuation of immovable assets in Zambia is closely related to the land tenure system. This means that the valuation of a piece of land, or immovable property on that piece of land, depends on whether that piece of land is under the 99-year renewable state leasehold, or under traditional authority. State leasehold land is land which has been captured by the Survey Department in the Ministry of Lands. Any land which is not captured by the Survey Department is assumed to be traditional land. The fundamental point is that only state land can be valued. Traditional land and the properties on it cannot be valued for purposes of legal transactions, until certain procedures have been fulfilled. However, the value of property on traditional land can be ascertained separately from the land by applying one of the valuation methods mentioned above, but such property cannot be sold separate from the land. 6.7 OVERVIEW OF WB AND AfDB RECOMMENDED VALUATION METHOD The World Bank Operational Policy 4.12 and the African Development Bank involuntary resettlement recommend the use of replacement cost method of valuation of assets. With regard to land and structures, "replacement cost" is defined as follows: For agricultural land, it is the pre- project 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 cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure within an area and quality similar to or better than those of the affected structure, or to repair a 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. The policy further states that "in determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset and where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. “ A comparison between Zambia's valuation methods and the Banks’ recommended method brings out the following differences: Firstly, Banks’ replacement cost does not take into account the depreciation of the asset whilst the replacement cost method used in Zambia takes depreciation into account. Secondly, Zambian practice does not take into account transaction costs whilst the World Bank and AfDB do. Volume II Resettlement Policy Framework Page 39 Pilot Program For Climate Resilience 7. ARRANGEMENTS FOR FUNDING RESETTLEMENT COMPENSATION 7.1 OPERATIONAL PROCEDURES The Compensation Committee is the body responsible for the oversight and implementation of the compensation process. The Compensation Committee can establish Task Teams and Sub- Committees as required for defined tasks. These groups must be specifically mandated by the Committee, with a clear brief and reporting structure. The Compensation Committee members might also consider the allocation of portfolios, ensuring clear management and reporting lines. Monitoring could be one of the portfolios. The Compensation Committee will receive operational support from the PPCR secretariat. 7.2 SOURCES OF FUNDING Although no displacement of populations is envisaged at this stage, any compensation for resettlement or loss of assets will be funded through the project investment funds. The investment projects under the PPCR will be funded from the Climate Investment Funds (CIF) which will be administered by the African Development Bank for all sub-projects in the Kafue Sub- basin while the World Bank will administer the funds for all sub-projects in the Barotse Sub-basin. The total budget for the Investment Project in Barotse Sub-Basin is US$35 million, while US$89 million is available for the Investment Project in the Kafue Sub-Basin. Since detailed inventories and compensation costing are undertaken in a phased manner matching project phases, an overall budget for the RAP has not been determined. The RAP budget and budgeting process is guided by the following principles: • RAP will be included up-front in the project implementation budget. Volume II Resettlement Policy Framework Page 40 Pilot Program For Climate Resilience 8. COMPENSATION PAYMENTS In Zambian law, the basic principle with respect to compensation is that the sum awarded should, as far as possible, place the claimant in the same financial position as they would have been, had there been no question of the land being compulsorily acquired. In addition to assessing the value of the land acquired, assessments for severance, injurious affection and disturbance should be made, where applicable. Severance refers to reduced value of the land used by the owner in the event that part of it is taken away. Injurious affection refers to depreciation caused by what is done on the land taken by the acquiring authority. The amount of disturbance payment shall be equal to:  The reasonable expense of the person entitled to the payment in removing them from the land from which they are displaced;  Compensation for land and all immovable assets valued at market value or full replacement value, (whichever is the higher rate) and  If they were carrying out trade or business on the land the loss they will incur by reason of the disturbance of that trade or business consequent upon their having to quit the land. 8.1 COMPENSATION GUIDELINES Compensation rates will be at market rates as at the date and time that the replacement is to be provided. The current prices of cash crops would have to be determined. Compensation would be based on valuation at or before the entitlement cut-off date. Homestead such as bush is community property. Only structures on the site belong to individuals, while permanent loss of any homestead site will be covered by community compensation which will be in-kind only. However, all persons losing land as a direct consequence of the project or sub-projects will be entitled to land of equal amount and of similar standard which will be located as close to the current site as possible. Compensation for land is intended to provide the affected person whose land is acquired and used for subproject purposes with compensation for land, labour and crops loss. Where land acquired has a standing crop, the farmer will be compensated in full for the expected market value of the crop plus the loss of investment of labour and purchased inputs for the production year/season in question. 8.1.1 Types of Compensation The types of Compensation recommended for use in the implementation of RAPs include cash payment and in-kind compensation. a. Cash payment: Cash payment compensation will be calculated and paid in Zambian Kwacha (ZMK). Rates will be based on market value of land when known or estimated when unknown plus compensation of the value of standing crops. The cash payment will be equal to, or greater than the replacement value for the impacted asset. Volume II Resettlement Policy Framework Page 41 Pilot Program For Climate Resilience b. In-kind compensation: In-kind compensation may include items such as land, houses, and other buildings, building materials, seedlings, agricultural inputs and financial credit for equipment, while assistance to affected persons would include moving allowances, transportation and labour. It is recommended that cash payments to beneficiaries be provided through financial institutions like banks in order to reduce chances of theft and loss of livelihoods. The project implementation unit and the compensation and resettlement committees at Ward and District level and the beneficiaries will decide upon the time and place for in-kind compensation payments.  Training  Transport  Capacity building  Services, schools, clinics, roads, wells, meeting places, education facilities  Employment opportunities  Housing  Electricity 8.2 COMPENSATION COMPUTATION This RPF recommends the following compensation rates for land, crops, labour, buildings and structures, vegetables, horticultural, floricultural and fruit trees. For each payment, compensation will be calculated in Zambian Kwacha currency adjusted for inflation. 8.2.1 Compensation for Land Compensation for land is aimed at providing for loss of land or crops and the labour used to cultivate the crops, and will cover the market value of the land, the cost of the labour invested as well as the replacement cost of crops lost. 8.2.2 Crop Compensation Rates Prevailing prices for cash crops would have to be determined. Each type of crop is to be paid for, using the same rate, incorporating the value of the crop and that of the labour to be invested in preparing new land. 8.2.3 Labour Cost Compensation Rates The value of labour invested in preparing agricultural land will be compensated for at the average wage in the community for the same period of time. The calculation of labour cost for preparing replacement land based on what it would cost a farmer to create replacement farm land. 8.2.4 Compensation Rates for Buildings and Structures Compensation for structures and buildings will be paid at replacement cost of labour and construction materials for these structures including fences, water and sanitation facilities, etc. The applicable replacement cost of construction materials, taking into account market values for the structures and materials, will be used to calculate compensation value, where part of the compensation is to be paid in cash. Volume II Resettlement Policy Framework Page 42 Pilot Program For Climate Resilience Alternatively, compensation will be paid in-kind at replacement cost without depreciation of the structure. 8.2.5 Compensation Rates for Vegetables Affected families will be compensated at the purchase prices of these items in the local market. 8.2.6 Fruit Trees Fruit trees will be compensated at replacement value based on historical production statistics given their significance to the local economy. 8.3 COMPENSATION PAYMENT PRINCIPLES Payment of compensation and other entitlements and assistance will be made to PAPs according to the following principles:  Compensation shall be paid prior to being impacted by project activities;  Compensation will be at least full replacement value and the compensation policy and its processes shall be perceived by the PAPs as being full, fair and prompt;  Preference will be given to persons whose livelihoods are land-based;  Where sufficient land is not available at reasonable price, non-land based options centred on opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost;  Taking of land and related assets may take place only after compensation has been paid; and resettlement sites, new houses, related infrastructure, public services and moving allowances have been provided to impacted persons;  In addition to these entitlements, households who are found to be in difficult situations, and are at greater risk of impoverishment such as widow/ widower headed households, households without employment, single parent households etc., as identified by the census, will be provided with appropriate assistance by the project;  Assistance may be in the form of food, temporary accommodation, medical assistance, employment referrals or priority employment in project activities. This assistance is meant to help PAPs cope with the displacement caused by the programme; and  Compensation and other assistance should be provided prior to displacement, and  Preparation and provision of resettlement sites with adequate facilities. 8.4 ENTITLEMENTS AND COMPENSATION MATRIX For ease of reference, a matrix of entitlements and compensation showing a summary of all the assets that a PAP is entitled to shall be prepared by the proponents of PPCR subprojects. The entitlements and compensation matrix follows the eligibility criteria outlined in this RPF for Volume II Resettlement Policy Framework Page 43 Pilot Program For Climate Resilience compensation and/or resettlement/rehabilitation assistance and for losses of different types of assets and for various categories of PAPs as shown in the table below. Table 3: Entitlements and Compensation Matrix Types of Losses Category of PAP Proposed Responsible Entitlement Agency Farmlands (including Land owners, Commercial Alternative land to be Project management, structures and farmers, tenants, provided; compensation Resettlement and improvements to land) subsistence farmers for buildings, structures, Compensation Committees, improvements to land, DDCCs, PACO, DACO, crops and farm Commissioner of Lands, implements; relocation Provincial Resettlement Officer, allowances; restoration Local Authorities, Valuation of livelihoods at new sites. Agricultural crops Subsistence & small scale Cash compensation; Project Management, farmers, tenants, squatters, labour cost Resettlement and encroachers compensation; provision Compensation Committees, of farm inputs; provision DACO and Project Staff, of cleared land at Valuation Department relocation site Land (including Farm owners, subsistence Compensation in form of DACO & Project Staff, structures and farmers, traditional alternative land or cash; Resettlement and improvements to land) authorities, local compensation for Compensation Committees, communities buildings, other Commissioner of Lands, structures, and Councils, Valuation department, improvements on the Survey Department, land; assistance in form Department of Physical Planning of transport and settling and Housing in allowance; restoration of livelihoods at new sites Loss of community Local communities, Re-construct or re- Project Management& DACO, teachers, school children, establish lost community DDCC, Relevant Ministries, services such as: subsistence farmers resources like churches Councils, Traditional Authorities, schools, churches, and other cultural Survey Department , grazing fields, dip tanks structures or provide resettlement and Compensation etc. alternatives in Committees, NGOs and CBOs in consultation with the area affected communities Loss of structures and Tenants, squatters, Compensation for Project Management, improvements to land encroachers buildings, structures, and Resettlement and improvements to land; Compensation Committees, for squatters, assistance DACO and Project Staff, in the form of allowance Valuation Department and transport Loss of Income Any PAP losing income as a Facilitation of alternative All PAPs should benefit from result of sub- project job training and other some kind of income activities. incentives (restoration to at least pre- Volume II Resettlement Policy Framework Page 44 Pilot Program For Climate Resilience Types of Losses Category of PAP Proposed Responsible Entitlement Agency project) Operational budgeting will be a standing process in sub-project’s overall budgeting process. The RAP budget will be ring-fenced to ensure transparency and reporting. Against this background, it may be divided into various cost centres. 8.5 Compensation Procedures The Zambian legislation, WB Safeguard Policy 4.12 and the AfDB Involuntary Resettlement Policy establish clearly the right to compensation for property that is acquired in public interest. Although the Zambian Government recognizes both statutory and customary land tenure, and that people who lost their assets received the same indemnification as those few who had formal title, the specific procedures for valuing assets are not detailed in the Zambian law It is in this regard that this RPF spells out the following valuation and compensation procedures which will be followed for any resettlement related operations that will take place under the PPCR Project activities in the Barotse and Kafue Sub-Basins in regards to land, agricultural fields, Residential and business structures; Crops, Trees and fruit trees 8.5.1 Land House or Business Plots: Same size in nearby location, replaced in-kind. The project will pay all the administrative fees. While all public utilities will be provided to all PAPs as appropriate. For businesses, particular attention should be paid to the type of clientele of the business. Agricultural fields will be replaced in kind by the Project. 8.5.2 Agricultural Fields Same size and with same soil type and water availability, all administrative fees and costs by the project. In the case of new agricultural lands, the costs of preparing the land for production will also be compensated fees in case of preparing new lands. If no unoccupied land is available, the search for suitable replacement must be carefully documented, and, if accepted, compensation will be at the current rate for informal land sales over the past three years; the project will monitor that the PAP actually replaces the land. 8.5.3 Residential Structures The valuation of losses will be determined at their new or the un-depreciated or replacement cost will be the determinant factor in the compensation of the loss. Either replacement in-kind; or, at the option of the PAP, compensation will be in and calculated at the new cost of a building of the same size made of similar or better materials. Any administrative fees will be paid by the project. All public utilities will be provided as appropriate for the locality. Cost of physical transfer to new residence will be covered by the project. Volume II Resettlement Policy Framework Page 45 Pilot Program For Climate Resilience 8.5.4 Businesses Structures As above (residential structures)In addition to land and structures, reimburse lost employee wages and business profit for the period of the relocation. 8.5.5 Infrastructure (e.g., fences, latrines, wells) Replacement in-kind or compensation at current cost of replacing infrastructure 8.5.6 Crops Value of amount of production lost, priced at local market price at mid-point between harvests. 8.5.7 Trees Timber trees: Value of lumber where tree to be sold and sawn, if not salvaged. Fruit trees: Value of production lost during period while seedling comes into production; provide replacement seedlings. A description of the proposed types and levels of compensation under the law or customary practice, and such supplementary measures as are necessary to achieve replacement cost for lost assets, will be provided in each RAP. In order to ensure that during the project implementation any person impacted by land acquisition will be provided full replacement cost of lost structures and is able to rebuild or replace his or her house without difficulty, the Community Development Committee will ensure that estimated building compensation rates are based on full replacement cost without depreciation. The CDC will also be responsible for ensuring that (or arranging to provide) alternative residential plots are provided to the displaced persons. Once individual project impacts are identified and valuation of individual structures is completed, detailed compensation rates for different structures will be included in the resettlement plan, and the plan will be submitted to, and reviewed for a no-objection by the World Bank or its designated representative prior to the start of any physical works. Volume II Resettlement Policy Framework Page 46 Pilot Program For Climate Resilience 9. DESCRIPTION OF GRIEVANCE REDRESS MECHANISMS 9.1 POTENTIAL GRIEVANCE/DISPUTES Potential grievances and disputes that arise during the course of implementation of the resettlement and compensation programme may be related to the following issues: 1. Inventory mistakes made during census survey as well as inadequate valuation of properties; 2. Mistakes related to identification and disagreements on boundaries between affected individual(s) and specifying their land parcels and associated development; 3. Disagreements on plot/asset valuation; 4. Divorces, successor and family issues resulting into ownership dispute or disputes shared between heirs or family; 5. Disputed ownership of a given assets(two or more affected individual(s) claim the same); and 6. Where affected individual(s) opt for are settlement-based option, disagreement on the resettlement package (the location of the resettlement site does not suit them). 9.2 PROCEDURE Despite best efforts with regard to the public consultation and community relations, there will be times when the project sponsor and stakeholders disagree. Affected persons will be informed of their rights to raise grievances via RAP information sharing initiatives. Mechanisms have been put in place to ensure that grievances are recorded and considered fairly and appropriately. These include: i. A register of grievances which is held by the Community Liaison Officer or any appointed mechanism by the PPCR secretariat. ii. Receipt of grievances will be acknowledged as soon as possible, by letter or verbal means. iii. The grievance will be reviewed by the Compensation Committee and appropriate action will be implemented. The preferred course of action will be discussed with the person bringing the grievance. Wherever possible, grievances will be resolved at this level. iv. Relevant details of grievances, with outcomes, will be made available to the affected parties. Through personal notification of the PPCR secretariat and through local newspapers, radio and TV. The PPCR secretariat should develop a communication strategy for grievance redress mechanism for the project which should include an explanation on the methods used in carrying out the project’s activities and such compensation payments etc. Volume II Resettlement Policy Framework Page 47 Pilot Program For Climate Resilience 9.3 UNRESOLVED GRIEVANCES AND DISPUTES Unresolved issues will be referred to a credible and independent person of body for arbitration. Other RAP processes where disagreements are deep may opt to involve community recognized local institutions such as senior church officials, or other respected civil society figures. There are three ways in which grievances shall be resolved. These are: 1. Arbitration: The Arbitration Act (chapter 40, Laws of Zambia) makes provisions for aggrieved parties to agree to settle disputes out of court through arbitration. In order to use arbitration in the settlement of disputes, the parties ought to make a written agreement to submit a present dispute, or future disputes to arbitration. The parties are at liberty whether or not to name an arbitrator in the agreement. Where an arbitrator is not named in the agreement, the agreement should designate a person who would appoint an arbitrator. 2. Courts of Law: It should be noted that arbitration only works where the parties to a dispute agree to resolve a difference through arbitration. Where there is no consent, then a court of jurisdiction may be used to resolve a dispute. 3. Grievance Redress Committee: There shall be a grievance redress committee made up of representatives from the community (the Area Development Committee) and the project implementers. This committee shall hear disputes regarding project impacts and cases shall only be referred to arbitration or courts of law when the grievance redress committee is unable to resolve an issue Volume II Resettlement Policy Framework Page 48 Pilot Program For Climate Resilience 10. RPF/ RAP MONITORING ARRANGEMENTS This RPF proposes the following RPF and RAP monitoring arrangements: 10.1 RPF monitoring The PPCR secretariat will carry out the monitoring of the RPF to ensure compliance to its provisions by stakeholders. In this regard the PPCR secretariat should design and put in place the programmes monitoring mechanism which should include the following: Monitoring resettlement activities such as compensation valuation and compliance with the World Bank and the African Development Bank (AfDB’s) involuntary resettlement policy 10.2 INTERNAL MONITORING To enable the sub-project proponents to measure progress against set targets, performance monitoring will be carried out as an internal function by the organization(s) responsible for implementing the RAPs. In this regard performance monitoring reports will be prepared at monthly, quarterly, half yearly and yearly intervals depending on the issues to be monitored. Performance targets in this regard will include:  Public meetings held,  Compensation disbursed,  Census surveys completed,  Assets inventories and socio-economic studies completed,  Number of people impacted  Proportion of displaced people relocated; and  Income restoration and development activities initiated. If the volume of work involved in performance monitoring is beyond the capacity of the RAP’s implementing organization to carry out, then the monitoring function could be sub-contracted to a consultant. 10.3 IMPACT MONITORING Impact monitoring to be undertaken by the sub-project proponent, or an independent agency, will provide assessments of the effectiveness of the RAP strategies in meeting the affected populations needs. Quantitative and qualitative indicators will be used to compare the effects of the RAPs activities with the baseline conditions of the affected populations before and after the resettlement exercises. The satisfaction of the affected population with the resettlement initiatives will be assessed for their adequacy or deficiency, while the census assets inventories and socio-economic studies will constitute the baseline for the affected population, for the purpose of evaluating impact assessment. 10.4 EXTERNAL COMPLETION AUDIT Completion audit(s) shall be carried out after the completion of all RAP inputs. The main aim of the completion audit or external monitoring is to assess how far the sub-project proponents’ efforts have gone in the restoration of the living standards of the affected population; and also Volume II Resettlement Policy Framework Page 49 Pilot Program For Climate Resilience assess whether the strategies for the restoration for the living standards of the affected people have been properly conceived and implemented. The following are some of the several issues which need to be verified in the external monitoring:  Physical inputs committed in the RAPs  Delivery of services provided in the RAPs  The effects of Mitigation measures prescribed in the RAPs  The affected populations and host populations social economic status after project impacts measured against the baseline conditions after the exercise. 10.5 DEVELOPMENT OF VERIFIABLE INDICATORS In order to ensure that monitoring the impacts of the compensation and resettlement activities for the PPCR project are done successfully, a number of objectively verifiable indicators (OVI’s) shall be used. These indicators will be targeted at quantitatively measuring the physical and socio- economic status of the PAPs, to determine and guide improvement in their social wellbeing. Therefore, monitoring indicators to be used for the RAP will have to be developed to respond to specific site conditions. As a general guide, the following table provides a set of indicators which can be use Table 4: Types of Variable Indicators MONITORING EVALUATION Outstanding compensation or resettlement Outstanding individual contracts not completed before next compensation or Resettlement agricultural season contracts. Communities unable to set village-level Outstanding village compensation after two years. compensation contracts. Grievances recognized as legitimate out of all All legitimate grievances rectified complaints lodged Pre- project production and income (year Affected individuals and/or before land used) versus present production households compensated or and income of resettlers, off farm-income resettled in first year who have trainees, and users of improved mining or maintained their previous agricultural techniques. standard of living at final evaluation. Pre- project production versus present Equal or improved production per production (crop for crop, land for land). household. 10.5.1 Indicators to determine status of affected people A number of indicators would be used in order to determine the status of affected people (land being used compared to before, standard of house compared to before, level of participation in project activities compared to before, how many kids in school compared to before, health Volume II Resettlement Policy Framework Page 50 Pilot Program For Climate Resilience standards, etc.). Therefore, the resettlement and compensation plans will set two major socioeconomic goals by which to evaluate its success:  Affected individuals, households, and communities are able to maintain their pre- project standard of living, and even improve on it; and  The local communities remain supportive of the project. 10.5.2 Indicators to measure RAP performances In order to access whether these goals are met, the resettlement and compensation plans will indicate parameters to be monitored, institute monitoring milestones and provide resources necessary to carry out the monitoring activities. The following parameters and verifiable indicators will be used to measure the resettlement and compensation plans performance: • The Local Governments will maintain a complete database on every individual impacted by the sub-project land use requirements including relocation/resettlement and compensation, land impacts or damages • Number of individuals receiving cash or a combination of cash and in-kind compensation, • Number of payments made in a month/ year. • The number of contentious cases out of the total cases • The number of grievances and time and quality of resolution • Ability of individuals and families to re-establish their livelihood (activities, land and crops or other alternative incomes) to the same level as prior to pre-project level or better. • Mining and agricultural productivity of new lands • Number of impacted locals employed by the project activities 10.5.3 Indicators to monitor and evaluate implementation of RAPs Financial records will be maintained by the Local Governments and the executing agencies to permit calculation of the final cost of resettlement and compensation per individual or household. Each individual receiving compensation will have a dossier containing;  Individual bio-data information,  Number of people s/he claims as household dependents  Amount of land available to the individual or household when the dossier is opened. Additional information will be acquired for individuals eligible for resettlement/compensation:  Level of income and of production  Inventory of material assets and improvements in land, and Debts Volume II Resettlement Policy Framework Page 51 Pilot Program For Climate Resilience 11. APPENDICES APPENDIX 1: DETAILS OF CONSULTATIONS MADE IN THE PREPARATION OF THIS RPF 1. ATTENDANCE REGISTER FOR FOCUS GROUP DISCUSSIONS NAME GENDER AGE PHONE SURVEYOR: DISTRICT: MUFURILA COMMUNITY: MURUNDU 1 Annie Kaunda F 50 0971-563641 2 Maria Kaskula F 61 3 Agnes Mumbai F 50 0965-824051 4 Rudia Mwila F 23 0965-803820 5 Rose Nkandu F 43 6 Veronica Chama F 30 7 Margret Kamnukese F 50 8 Mumba Judith F 9 Mazinga Kawangu F 10 Ronica Kalumba F 11 Keline Mubanga F 33 0962-226571 12 Gideon Musondah M 28 0967-827997 13 Josen Habgam M 80 14 Josephin Lubo F 62 15 Charity Nkandu F 29 16 Beatrice Kupeya F 40 0978-921093 17 Bwalya Joseph M 48 0965-553774 18 Hildah B Kulokoni F 40 0964-037528 19 Mumba Kasoka M 41 20 Martin B Kampamba M 27 0968-288668 21 Jonathan Chama M 48 0968-496586 22 Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F 30 24 Conceptor Bwalya M 27 0964-705015 25 Innocent Musonda M 19 26 Castro Mwila M 16 27 Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda Volume II Resettlement Policy Framework Page 52 Pilot Program For Climate Resilience NAME GENDER AGE PHONE DISTRICT: SOLWEZI COMMUNITY: TUNDALA (MUTANDA) 1 Thomson Chababa M 19 2 Collins Sonkasonka M 29 3 Kamayani Musama M 16 4 Mr Kachimpu M 5 Mrs Yolamu F 35 6 Givenes Kazhimba F below 40 7 Mrs Mufumbila F below 40 8 Peggy Kinaka F below 40 9 Daliwe Kinaka F below 40 10 Gelis Sonkasonka F below 40 11 Eva Kalembo F below 40 12 Catherine Katonto F below 40 13 Justina Matalayi F below 40 14 Alice Ntambu F below 40 15 Ester Kanseni F below 40 16 Mervis Kambumba F below 40 17 Ms Muyumba F below 40 18 Juliet Kishiki F below 40 19 Sylvia Chiliboyi F below 40 20 Meliti kambumba F below 40 21 Maida Kifita F below 40 22 Mbuyu Kikukula F below 40 23 Agness Mulela F below 40 24 Bridget Malasha F below 40 25 Peter Chiliboyi M 15 26 Chrispin Kilifwaya M below 40 27 Lulea Kangamba M below 40 28 Lulea Jilambwe M below 40 29 Roger Mulongo M below 40 30 Kinaka Benido M below 40 31 Jimmy Kyembe M below 40 32 Martin Payisoni M below 40 33 Kikukula Seke M below 40 34 Gilbert Muzhila M below 40 35 Victor M below 40 36 Junes Lungenda M below 40 37 Zhethy Kiroka F below 40 38 Josephine Jilambwe F below 40 Volume II Resettlement Policy Framework Page 53 Pilot Program For Climate Resilience NAME GENDER AGE PHONE 39 Hildah Shijila F below 40 SURVEYOR: DISTRICT: MUFURILA COMMUNITY: MURUNDU 1 Annie Kaunda F 50 0971-563641 2 Maria Kaskula F 61 3 Agness Mumba F 50 0965-824051 4 Rudia Mwila F 23 0965-803820 5 Rose Nkandu F 43 6 Veronica Chama F 30 7 Margret Kamnukese F 50 8 Mumba Judith F 9 Mazinga Kawangu F 10 Ronica Kalumba F 11 Keline Mubanga F 33 0962-226571 12 Gideon Musondah M 28 0967-827997 13 Josen Habgam M 80 14 Josephin Lubo F 62 15 Charity Nkandu F 29 16 Beatrice Kupeya F 40 0978-921093 17 Bwalya Joseph M 48 0965-553774 18 Hildah B Kulokoni F 40 0964-037528 19 Mumba Kasoka M 41 20 Martin B Kampamba M 27 0968-288668 21 Jonathan Chama M 48 0968-496586 22 Arnott Sikanyima M 53 Agric officer 23 Constance Mkandawire F 30 24 Conceptor Bwalya M 27 0964-705015 25 Innocent Musonda M 19 26 Castro Mwila M 16 27 Shadrick kasonga M 17 NAME OF SURVEYOR: Clement Raphael Banda DISTRICT: LUFWANYAMA COMMUNITY: LUMPUMA 1 Rosemary Musonda F 46 0978-576360 2 Majory Chibebe F 22 3 Justina Mulinga F 54 0974-282549 4 Jilian Kapopo F 30 5 Abud Kapopo M 37 6 Kunda Sanwell M 71 7 Osfad hachilala M 22 Volume II Resettlement Policy Framework Page 54 Pilot Program For Climate Resilience NAME GENDER AGE PHONE 8 Mwelaisha Josphat M 39 0979-717615 9 Robby Muzembo M 32 0979-656863 10 Mudenda Rapeal M 50 0977-193399 11 Kunda Elisheba F 26 12 Helic Lwaisha M 37 13 Ridness Kayelu F 28 14 Alice Njovu F 38 15 Sara Chimbotela F 28 16 Rokia Chimbotela F 13 17 Mavis Bizile F 20 18 Catherine Chandele F 50 19 Sydney Bizile M 30 20 Chimbalanga Dawin M 29 0973-223049 21 Sammuel Sinonge M 18 0966-781209 22 Filda Mutenda F 67 23 Fatima Hangandu F 30 24 Enock Sondwapo M 30 25 Chirito Vincent M 35 26 Elastus Bwanga M 17 0964-354037 27 Sholai Siachisumo M 21 0963-230940 28 Chawana Katoyo M 19 29 Harriet Hamansanji F 15 0966-565201 30 Angela Chombela F 12 31 Gilbert Puma M 33 0962-061213 32 James Chikuti M 38 0961-986751 33 Chombela Jane F 34 34 Obed Chunga M 26 0962-817844 35 Mattews Bizile M 30 36 Mazlen Gaika M 22 37 Bicko Moono M 32 0974-899275 38 Nyanga harrison M 34 0975-275229 39 Musonda Fwaku M 19 40 Mubishi Grewa M 36 41 Wilson Chilimina M 36 42 Precious Chikwe M 29 43 Sinyangwe Osiyana M 41 44 Chambula Davy M 36 45 Chipotela Justin M 38 46 Chimbotela Mbunda M 29 0964-710816 Volume II Resettlement Policy Framework Page 55 Pilot Program For Climate Resilience NAME GENDER AGE PHONE 47 Hangandu Linos M 46 48 Cleopatra Malisopo F 22 49 John Chitutu M 18 0962-305232 50 Agrena kayamba F 25 51 Mumba Alfred M 27 52 Chandele Jonathan M 38 0975-128028 53 Fwaku Pathias M 30 54 Sylvia Chilimina F 31 55 Fenia Chilimina F 40 DISTRICT NAME: SHANG'OMBO DATE: 21/08/12 S/N NAME SEX AGE VILLAGE 1 Hildah Mubita F 31 Kabula 2 2 Namasiku Mabuku F 41 Kabula 2 3 Nanjala Mubita F 44 Kabula 2 4 Grace Mtonga F 49 Kabula 2 5 Sarah Kuyanwa F 22 Kabula 2 6 Wamundila Mweze F 25 Kabula 2 7 Zansi Mweze F 22 Kabula 2 8 Nasilimwe Likezo F 43 Kabula 2 9 Namasiku Muyuwano F 23 Kabula 2 10 Mutumba Mubiana F 35 Kabula 2 11 Angela Songiso F 19 Kabula 2 12 Takazo Ngombo F 20 Kabula 2 13 Maungulo Muyakamino F 65 Kabula 2 14 Nambula Munyeka M 32 Kabula 2 15 Nyambe Mongola M 44 Kabula 2 16 Kenneth Sifunda M 19 Kabula 2 17 Macaliso Muyunda M 18 Kabula 2 18 Twambo Lubunda M 34 Kabula 2 19 Mary Sitamalonge F 33 Sabelo 20 Namitondo Masiye F 62 Kabula 2 21 Malamo Likando F 48 Kabula 2 22 Komelo Muzumi F 61 Kabula 2 23 Muzwamasimu Majelelezo F 40 Kabula 2 24 Mugala Muyoya F 28 Kabula 2 25 Kulila Kacana F 35 Kabula 2 26 Joyce Muyalo F 28 Kabula 2 Volume II Resettlement Policy Framework Page 56 Pilot Program For Climate Resilience DISTRICT NAME: SHANG'OMBO DATE: 21/08/12 S/N NAME SEX AGE VILLAGE 27 Ireen Mtonga F 38 Kabula 2 28 Monde Mulalelo F 20 Kabula 2 29 Maria Lusinde F 28 Kabula 2 30 Nakweti Kangongolo F 24 Kabula 2 31 Tabo Nyambe F 24 Kabula 2 32 Mwangala Kakumbo F 29 Kabula 2 33 Akatama Matakala M Kabula 2 34 Godwin Mongola Kuyumbelwa M Kabula 2 35 Kalaluka Kuzana M Kabula 2 36 James Namangolwa M Kabula 2 37 Chrispin Sitobolia M Kabula 2 38 Everisto Munene M Kabula 2 39 Sililo Nyamba M Kabula 2 40 Siyumbwa Kunyemwa M Kabula 2 41 Nyambe Kumoyo M Kabula 2 42 Royd Kangumu M Kabula 2 43 Monde Muyoba M Kabula 2 44 Malamo Nolonge M Kabula 2 45 Mwinke Macaliso Kabula 2 46 Namasiku Wambinji Kabula 2 47 Mwendabai Mulalelo Kabula 2 48 Grace Mabuku F 19 Lisiye 49 Mumbeko Manyando Kabula 2 50 Liseho Nyambe Kabula 2 51 Dorica Manyando F Kabula 2 52 Liyuwa Muyenga Kabula 2 53 Mwamuma Nyamba Kabula 2 54 Zita Maswabi Kabula 2 55 Mbvu Chikomba Kabula 2 56 Mufalali Muyoba Kabula 2 57 Namukonde Muyunda Kabula 2 58 Malamo Nyambe Kabula 2 59 Manga Sitali Kabula 2 60 Nakengo Masendo Kabula 2 61 Anayawa Mizimo Kabula 2 62 Melelo Mulauli Kabula 2 Volume II Resettlement Policy Framework Page 57 Pilot Program For Climate Resilience DISTRICT NAME: SHANG'OMBO DATE: 21/08/12 S/N NAME SEX AGE VILLAGE 63 Mate Lubasi Kabula 2 64 Hildah Sililo F Kabula 2 65 Patson Muyunda M Kabula 2 66 Nalishebo Sitali M Kabula 2 67 Innocent Mabote M Kabula 2 68 Johnson Songiso M Kabula 2 69 Steven Mayalo M Kabula 2 70 Enock Mongola M Kabula 2 71 Actor Kebby Lifunga M Kabula 2 72 Musiwa Mbwainga Kabula 2 73 Castor Domiso M Kabula 2 74 Jimmy Kapalo M Kabula 2 District Name: Senanga Date: 22/08/12 NAME SEX AGE COMMUNITY 75 George Itwi M 68 Lukanda 76 Nyambe Macwani M 56 Lukanda 77 Kebby Tutalunega M 45 Lukanda 78 Tolosi Mafo M 42 Lukanda 79 Makai Makai F 55 Lukanda 80 Ngule Mulyata F 46 Lukanda 81 Mbiji Lubinda M 49 Lukanda 82 Sitali Kufekisa M 47 Lukanda 83 M. Mubila F 55 Lukanda 84 Limpo Nawa F 44 Lukanda 85 Mundia Muyunda M 56 Lukanda 86 Lungowe Muyoyeta F 38 Lukanda DISTRICT NAME: MONGU Date: 23/08/12 NAME SEX AGE COMMUNITY 87 Mufato Gilland W. M Namushakende 88 Joseph Matongo M. M Namushakende Volume II Resettlement Policy Framework Page 58 Pilot Program For Climate Resilience DISTRICT NAME: MONGU Date: 23/08/12 NAME SEX AGE COMMUNITY 89 Timothy Matongo M Namushakende 90 Isiteketo Mukufute M. Namushakende 91 Kapanda K. Namushakende 92 Lisoli Akamandisa Namushakende 93 Namayonga Lizazi Namushakende 94 Sitali Nawa F Namushakende 95 Franco Mulonha M Namushakende 96 Nolukiu Lubinda Namushakende 97 Saviour Indala I. M Namushakende 98 Mwakamui Mumeka T. M Namushakende 99 Mulako Simbula Namushakende 100 Mufalo Memory L. F Namushakende 101 Ronicar Mbumwae F Namushakende 102 Mainza Chibuwa M Namushakende 103 David Amwalana M. M Namushakende 104 Teddy Akakandelwe M Namushakende 105 Muliya Ikasama Namushakende 106 Mubuna Minyoi Namushakende 107 Charles Mwala M Namushakende 108 Sydney Musinga M Namushakende 109 Mundia Kagwala Namushakende 110 Alice Mumbuna F Namushakende 111 Maria Katonda F Namushakende 112 Gloria Chatumbo F Namushakende DDCC COMMITTEE MONGU S/N NAME OCCUPATION EMAIL CELL NO Mnamusunga2006@Yahoo.Co 1 Moses Namusunga ZMD m 979568831 2 Everisto Muhau WVI Muhau.Atha@Gmail.Com 979646581 3 Enock Ntoka AHA Enockutoka@Gmail.Com 977405686 4 Mukeya Liwena RLV Mliwena@Yahoo.Co.Uk 969950638 5 Phiri Numel FISHERIES Numelphiri@Yahoo.Com 962992244 6 Chiyala Kane Kanechiyala@Rocketmail.Com 977226444 7 Chabalanga Ng'ambi DACO Nchabalang@Yahoo.Com.Au 977279947 1. Sesheke District Volume II Resettlement Policy Framework Page 59 Pilot Program For Climate Resilience # NAME AGE GENDER 1 Kacama Kacama 27 M 2 Sinvula Malindi 51 M 3 Manyando Malindi 68 M 4 Samson Malindi 97 M 5 Mwaka Mutuwamezi 26 F 6 Nalukui Liwanga 37 F 7 Akashemweta Makala F 8 Kongwa Mushimbei 73 F 9 Mumunga Kangumu F 10 Namukolo Zambo 54 F 11 Mumeka Mumeka 43 M 13 Basazi Lukonde 37 M 14 Sikufele Kamukwa 47 M 15 Mwangala Matomola 34 F 16 Kulela Liutwelo 30 F 17 Chuma Kweleza 31 F 18 Maria Masialeti 26 F 19 Musepani Mate 45 M 20 Oliver Namabunga 31 M 21 Mumeka Kagumu 72 M 22 Lubinda Mbaimbai 65 M 23 Munyaze Manyando 45 M 24 Mubala Lukonde 39 M 25 Eric Lumonga 42 M 26 Malindi Malindi 72 M 2. Namwala District # Name Age Gender 1 Bonwell Masumba M 2 Regina Kalanda F 3 Ester Mukoto F 4 Molephy Mwinde F 5 Nezya Nzala F 6 Joyce Moonga F 7 Precious Muntanga F 8 Joyce Mukumbuta F 9 Kingsley Kaluya M 10 Bennard Ndumba M 11 Alfred Mutapila M 12 Annah mwanda F 13 Keshas Mudenda M 14 Geshome Mupeta M 15 Ben Hamoomba M Volume II Resettlement Policy Framework Page 60 Pilot Program For Climate Resilience # Name Age Gender 16 Odenes Nzala M 17 Antony Kalonda M 18 Chinyemba Kapalu M 19 Kenny Simatanda M 20 Mumbuna Katyamba M 21 Dellah Ahimanza F 22 Doris Kaputula F 23 Tenday Mpofu M 24 Mable Kaabwe F 25 Florence Hamaimbo F 26 Exilda Kaluwe F 27 Evans Phiri M 28 Phillip Maambo M 29 Abraham Simukoko M 30 Sellina Hagwalya F 31 Violet Kalulu F 32 Rose Machai F 33 Mutinta Simatanda F 34 Dolifa Kpalli F 35 Lista Chinyama F 36 Oliver Hagwalya M 37 Thomas Hagwalya M 38 Clive Milimo M 39 Kazhila Kapalu M 40 Joyce Matale F 41 Mubita Matale M 42 Ireen Chilwa F 43 Handley Kamizhi M 44 Eunice Mapulanga F 3. Itezhi Tezhi Distirct # Name Age Gender 1 Headman Lengalenga 56 M 2 Headman Shapama 73 M 3 A. C. Muchimba 70 M 4 Mukuta Leonard 73 M 5 Johns Shilumamba 60 M 6 Benson Nyama 78 M 7 Andrew Bulongo 60 M 8 Godwin Kongwa 61 M Volume II Resettlement Policy Framework Page 61 Pilot Program For Climate Resilience # Name Age Gender 9 Mayoyeta Mayoyeta 65 M 10 Golden Siakakoma 50 M 11 Evans Libingi 69 M 13 H. Hamasuki 36 m 14 Maureen Nyanda 74 F 15 Wilson Siboli 75 M 16 Kanyawinyawi A. 36 M 17 Choobe Richard 55 M 18 Makani Simoni 73 m 19 Charles Shachibengu 49 M 20 Edith Shumbwamuntu 63 F 21 Esineya Mwanza 56 F 22 Godwin Mpansi 27 M 23 Bagrey Shimukuwala 59 M 24 Mambo Joynet 43 M 25 Samuel Suulwe 73 M 26 Mutinta Miyoba 65 F 27 Moobola Charles 59 M Volume II Resettlement Policy Framework Page 62 Pilot Program For Climate Resilience 2. PPCR Stakeholder workshop – Strategic Environmental and Social Assessment (SESA) Project Prototypes Sandy’s Creation 13TH DECEMBER, 2012 S/N NAME ORGANIZATION DESIGNATION E-MAIL PHONE 1 Serah C Lunda Provincial Forest office North Extension officer serahchila@gmail.com 0977-613220 Western 2 Anna Stumfels G17 advisor Anna.stusmfels@g17.dc 0975-873241 3 Christopher Chileshe MMEWD Ag. Director Water cchileshe@mewd.gov.com 0966-433430 4 Munkayumbwa Munyima Niras Researcher munyimam@yahoo.co.uk 0966-393632 5 Morris Moono Social welfare-Southern PSWO moonomorris@gmail.com 0966-902960 Province 6 Kelvin Simukondwi Namwala District Council DPO simukondwi@zambia.co.zm 0977-858096 7 David C Kaluba PPCR-MOF National coordinator dckaluba@gmail.com 0979-403037 8 Martin N Sishekanu PPCR-MOF Participatory masishekanu@gmail.com 0965-701023 Adaptation Advisor 9 Chasaya Gentile NIRAS Consultant Chasaya.gentile96@gmail.com 09733-80425 10 Mukumwa Jean PPCR-MOF Moe Intern mukumwajay@gmail.com 0974-032216 11 Kandandu Rex DDCC Representative DPO rkandandu@yahoo.com 0977-472014 12 Derrick Chikasa PDCC Representative Senior rep AST derekchikasa@yahoo.com 0979-299933 13 IndunaSayowaMeebeloLubinda B.R.E IndunaSaywa 0977-597135 14 Mudenda Wisford Zambia Red Cross Disaster Mgt Wisfordmudenda@yahoo.com 0977-758616 Coordinator 15 Muyumbwa Ndiyoi N.H.C.C Chief Natural ndiyoi@yahoo.co.uk 0975-112523 Heritage office 16 ThokozileWonani PPCR Office Manager twonani@yahoo.co.uk 0977-303194 17 ZookMuleya ZAWA Head of Planning Zook.muleya@zawa.org.zm 0977-718282 18 George W Sikuleka FASAZ Member gwsiluleka@gmail.com 0977-777573 19 Gabriel Mushinge NIRAS GIS Consultant gmushinge@gmail.com 0976-027045/0955- 781976 20 Florence Phiri ZNFU Senior manager florencephiri@znfu.org 0977-434312 21 Diana Banda NIRAS Consultant Diana.banda@unza.zm 0978-048569 22 Mwambana Joseph DC Masiti DC 0963-954555 23 Luapula Pasmore Kafue District Council District Planning mashikap@gmail.com 0977-901900 Volume II Resettlement Policy Framework Page 63 Pilot Program For Climate Resilience Officer 24 Mufale Jackson District Admin District Admin Officer Js-mufale@yahoo.com 0967-945495 25 Moono I.M Kanjelesa ZEMA Acting Principle mkaiyelesa@zema.org.zm 0955-753320 Inspector 26 MuketoiWamunyima Pelum Zambia Coordinator Muketoi@yahoo.com 0977-700034 27 Paul Lupunga MOF CEM paulmlupunga@gmail.com 0977-758141 28 Thandi Gxaba World Bank ENV Specialist tgxaba@worldbank.org 0964-957069 29 Sofia Bettencourt World Bank Tosh Team leader sbettencourt@worldbank.org 0977-750771 30 Kisa Mfalila AFDB Env. Specialist kmfalila@AfDB.org 0962-716772 31 Allan Dauchi MLNREP Environment Officer Duchi45@yahoo.com 0978-516974 32 Deuteronomy Kasaro FD/MLNREP National Redd deutkas@yahoo.co.uk 0977-654130 coordinator 33 Godwin F Gondwe MLNREP/NREPD Acting Director figogmel@yahoo.co.uk 0978-793309 34 Grace Ngulube District commissioner Kafue DC Kafue 0978-214793 35 Excellent Hachileka UNDP AC Policy Assistant Excellent.hachileka@undp.org 0977-225246 36 LenyanjiSikaona DMMU, OVP PRPO Lenganji.sikaona@gmail.com 252697 37 Noah Zimba ZCCN Chair person gbnaturals@gmail.com 0977-873073 38 Chilukusha Gershom RDA Environmental officer gchilukusha@roads.gov.zm 0966-433665 39 Benny Zimba Niras Country Rep 40 Twisema Muyoya Niras Senior Consultant 41 Kasanga Kavimba Niras Project Officer 42 Davies Chipilipili Niras Accounts Manager 43 Elina C Phiri Niras Admin/accounts assistant Volume II Resettlement Policy Framework Page 64 Pilot Program For Climate Resilience APPENDIX 2: LEGAL FRAMEWORK ComparisonbetweenZambianLegislationandtheWorldBanksOP4.12/AfDBInvolunatry Resettlement Policy Subject World Bank OP 4.12/AfDB Zambian Legislation Comparison Recommendation to Involuntary Resettlement Policy Notification MDBs1requires that activities Section 5to 7of the Zambian Lands Both the Bank and Zambian Compensation and necessary period/timing of associated with a sub-project be Acquisition Act provides for the issuance of Legislation agrees that support shall be paid and project impacts to the PPCR implementation to notices to show: impacted persons should be provided for before land is ensure that impacts or  The state’s intention to acquire compensated before land handed over as per the Bank restriction of access or the property. and related assets are taken resettlement policy taking of land and assets does  The landowner/occupant to yield up away. not for occur before putting in property. place measures resettlement e.g.  The State to take up possession. . compensation  Provision of resettlement sites and payment of morning allowances to displaced persons. Eligibility for The following are eligible  Section10 of the Lands Acquisition Act of The Bank grants eligibility The application of the Bank compensation according to the Bank the Zambian Laws provides for for compensation to all Safeguard policy provisions as  Those with formal rights to compensation of persons whose land has affected parties where as outlined in this table’s the land. been acquired compulsorily under the the Zambian Law column2is recommended  Those who have claim to Act. provides for the land but without formal compensation only to legal rights; and. those with lawful  Those without recognizable possession of the land. legal right or claim to the land. 1 MDBs refers to both World Bank and AfDB Volume II Resettlement Policy Framework Page 65 Pilot Program For Climate Resilience Subject World Bank OP 4.12/AfDB Zambian Legislation Comparison Recommendation to Involuntary Resettlement Policy Compensation Bank policy requires that: • Section10 of the Lands Acquisition Act Compensation and valuation  It is recommended that the • Displaced persons are Chapter 189 of the Laws of Zambia of assets states that: Bank policy requirements be promptly provided with provides for compensation consisting of  Compensation and followed because the effective compensation at money, agreed as per the Act. Where the relocation must culminate Zambian Law does not meet full replacement cost for property to be acquired compulsorily is in the affected persons the standards of full loss of assets attributed to land, the President, with the consent of property and livelihood compensation at full the project directly. the person entitled to compensation shall restored to at least replacement cost. • Displaced persons are in view or in addition to any equivalent standards prior provided with assistance compensation payable under the section to relocation. during relocation and grant others land not exceeding the value residential housing, of the land acquired. housing sites and agricultural sites of at least equivalent standard as the provision site, if physical Valuation and Bank defines replacement Chapter1Article16ofthe Laws of Zambia According to the MDBs, It is recommended that the the amount of “cost� with regard to land and provides for fundamental right to property and compensation is broader Bank policy provisions be displacement structures as follows : protects persons from its deprivation. The Act and ensures that all applied for valuation and compensation Agricultural Land:- pre-projector stipulates that no person can be deprived of his property and inputs to compensation purposes. pre displacement whichever is property compulsorily without adequate livelihoods are taken into Zambian Law does not meet higher, market value of land of compensation. The level of compensation account including the costs the standards of compensation equal productive value or use amount shall be determined by agreement of associated with developing at full replacement cost. located in the vicinity of the the relevant parties and that in default of the new livelihoods at the same affected land to levels similar to agreement on the amount payable, a court of or better standards than those of affected land, plus the competent jurisdiction shall determine the those prior to displacement. cost of any registration and amount of compensation. Qualified valuation The Zambian legislation is transfer costs. professionals will undertake valuation of assets. narrower than the Banks On traditional land assets are valued at provisions sit does not Urban Land-pre displacement replacement cost separate from the land. As ensure that all property market value of land of equal traditional land has no recognizable market inputs are taken into size and use with similar or value it is not appropriate to value it using account in the valuation and improved public infrastructure replacement cost value. compensation for facilities and services located in displacements Volume II Resettlement Policy Framework Page 66 Pilot Program For Climate Resilience Subject World Bank OP 4.12/AfDB Zambian Legislation Comparison Recommendation to Involuntary Resettlement Policy the vicinity of affected land, plus the cost of any registration and transfer taxes. For Houses and other Structures-the market cost of the materials to build a replacement structure with an area and quality similar or better than those of the 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 thoughtful taxes. Project According to Articles 14 and 18of The Environmental Protection and According to the As per the Zambian law, proponents the World Bank’ OP 4.12, the Pollution Control Act- Chapter204 of the Zambian legislation, the the environmental and responsibilities borrower is responsible for Laws of Zambia’s Air Regulation schedule process required for the planning process outlined conducting census, preparing No.3 specifies the type of developments project proponent/ might be followed implementing and monitoring the which require a project brief, while implementing agency is together with the Banks appropriate instrument for regulation 10 provides for public long and involves many requirements including: resettlement. In addition, consultation by the developer before organizations. Article24 requires that the submitting the project to the  Screening Census i.e. borrower be responsible for Environmental Council of Zambia for development of a plan monitoring and evaluation of approval. The developer is also required to  Management of subproject activities in the seek the views of the project affected compensation payments. resettlement instrument. Article committees. In addition, the developer  Proper consultation with 19 requires the borrower to shall publicize the intended project, its affected persons. inform potentially displaced effects and benefits in the media and using  Monitoring and persons at an early stage about local language. Regulation II provides for evaluation of the resettlement aspects of the the contents of the EIS to include: the project project. It requires the project to  Social and economic impacts of the take their views into account in project uses in the areas. According to project design. Upon completion, the Town and Country Planning Act, if the borrower must undertake an resettlement is to be undertaken, then a assessment to determine whether development plan in that regard has to the objectives of the resettlement be prepared and approved by the Volume II Resettlement Policy Framework Page 67 Pilot Program For Climate Resilience Subject World Bank OP 4.12/AfDB Zambian Legislation Comparison Recommendation to Involuntary Resettlement Policy have been realized. relevant planning authority under the MLGH. If more than 2,000peopleare to be resettled, then a resettlement scheme for that purpose has to be prepared and implemented by The Resettlement Department of the Office of the Vice President in the Province. If project land is under traditional authority , there will be need to convert the land from traditional to state land as per the requirements of the land conversion legislation, while the Land Survey Act will applying the surveying of lands. Other acts will apply in areas where the project relates to their uses in the areas. According to the Town and Country Planning Act, if resettlement is to be undertaken, then a development plan in that regard has to be prepared and approved by the relevant planning authority under the MLGH. If more than 2,000peopleare to be resettled, then a resettlement scheme for that purpose has to be prepared and implemented by The Resettlement Department of the Office of the Vice President in the Province. If project land is under traditional authority , there will be need to convert the land from traditional to state land as per the requirements of the land conversion legislation, while the Land Survey Act will applying the surveying of lands. Other acts will apply in areas where the project relates to their mandates e.g. Public Roads, Agricultural Lands, Local Government, Forestry, Water, Zambia Wildlife, etc. Volume II Resettlement Policy Framework Page 68 Pilot Program For Climate Resilience APPENDIX 3: ENVIRONMENTAL AND SOCIAL SCREENING FORM Sub-project name: Sub-project Location (e.g. region,) (Include map/Sketch): Type of activity:(e.g. new construction, rehabilitation, periodic maintenance) Estimated Cost( $ USD) Proposed Date of Commencement of Work: Technical Drawing/Specifications Circle Answer Yes No Reviewed: Issues Low Site Sensitivity High Rating Medium Natural habitats No natural No critical Critical natural habitats present natural habitats; habitats of any kind other natural present habitats occur Water quality and Water resource availability and use. Natural hazards vulnerability, floods, soil stability/erosion Cultural Property Involuntary resettlement Indigenous Peoples Volume II Resettlement Policy Framework Page 69 Pilot Program For Climate Resilience 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 Preliminary Environmental Information: Yes/No answers and bullet lists preferred except where descriptive detail is essential State the source of information available at this stage (proponents report, EIA or other environmental study). Has there been litigation or complaints of any environmental nature directed against the proponent or sub-project Refer to application and/or relevant environmental authority for this information. Identify type of activities and likely environmental Yes/No answers and bullet lists preferred impacts: except where descriptive detail is essential What are the likely environmental impacts, opportunities, risks and liabilities associated with the sub-project? Impact, Mitigation and Monitoring Guidelines Determine environmental screening category: Yes/No answers and bullet lists preferred except where descriptive detail is essential Volume II Resettlement Policy Framework Page 70 Pilot Program For Climate Resilience After compiling the above, determine which category the sub-project falls under based on the environmental categories schedule 1,2or3 Screening and Review Process Mitigation of Potential Pollution Yes /No answers and bullet lists preferred except where descriptive detail is essential. essential. Does the sub-project have the potential to pollute the environment, or contravene any environmental laws and regulations? Will the sub-project require pesticide use? If so, then the proposal must detail the methodology and equipment incorporated in the design to constrain pollution within the laws and regulations and to address pesticide use, storage and handling. Does the design adequately detail mitigation measures? Mitigation and Monitoring Guidelines Yes /No answers and bullet lists preferred Environmental Assessment Report or except where descriptive detail is Environmental studies required: essential. If screening identifies environmental issues that require an EIA or study, does the proposal include the EIA or study? Indicate the scope and time frame of any outstanding environmental study. Required environmental Monitoring Plan: If the screening identifies environmental issues that require long term or intermittent monitoring (effluent, gaseous discharges, water quality, soil quality, air quality, noise etc.), does the proposal detail adequate monitoring requirements? Impact, Mitigation and Monitoring Guidelines Volume II Resettlement Policy Framework Page 71 Pilot Program For Climate Resilience Public participation/ information requirements: Yes /No answers and bullet lists preferred except where descriptive detail is essential. Does the proposal require, under national or local laws, the public to be informed, consulted or involved? Has consultation been completed? Indicate the time frame of any outstanding consultation process. Land and resettlement: Yes /No answers and bullet lists preferred except where descriptive detail is essential. What is the likelihood of land purchase for the sub- project? How will the proponent go about land purchase? What level of type of compensation is planned? Who will monitor actual payments? Actions: List outstanding actions to be cleared before sub- project appraisal. Approval/rejection Yes /No answers and bullet lists preferred except where descriptive detail is essential. If proposal is rejected for environmental reasons, should the sub-project be reconsidered, and what additional data would be required for reconsideration? Recommendations: Requires an EIA and/or RAP, to be submitted on date: _____________________________ Requires EMP, to be submitted on date: ________________________________________ Does not require further environmental studies: _________________________________ Reviewer:________________________________________________________________ Name:________________________________________________________________________ Signature:_______________________________________________________________ Date:___________________________________________________________________ Volume II Resettlement Policy Framework Page 72 Pilot Program For Climate Resilience APPENDIX 4: ENVIRONMENTAL AND SOCIAL SCREENING CHECKLIST A. NAME, DEPARTMENT, JOB TITLE, AND CONTACT DETAILS FOR THE PERSON WHO IS RESPONSIBLE FOR FILLING OUT THIS FORM: Completed by (Name):_______________________________________________________________Contact details:____________________________________________________________________ Date:______________________________ Signature:__________________________ B. PROJECT DESCRIPTION Name of Project:____________________________________________________________________ Name of Project Execution Organization:________________________________________________ Location of the Project:______________________________________________________________ Type and scale of the Project:_________________________________________________________ Approximate size of the Project in land area the location of the project:______________________ Estimated Cost:________________________________ C. THE CHECKLIST Please fill in the checklist below: PROJECT SITING: Volume II Resettlement Policy Framework Page 73 Pilot Program For Climate Resilience 1. Are there any environmentally sensitive areas (intact natural forests, Rivers or wetlands etc.,) or threatened species (specify below) that could be adversely affected by the project?: Yes______No______ 2. Does the project occur within/adjacent to any protected areas designated by government (national park, national reserve, etc.)?: Yes______No______ 3. Based upon visual inspection or available literature, are there areas of possible geologic or soil instability (erosion prone, landslide prone, subsidence-prone)?: Yes______No______ 4. Is the project located near to water sources used for domestic consumption such as boreholes, water wells or springs?: Yes______No______ 5. Based on available sources, consultation with local authorities, local knowledge and/or observations, could the project alter any historical, archaeological or cultural heritage site?: Yes______No______ 6. Will the project result in displacement, loss of assets, or access to assets?: Yes_____No______ 7. Will the project result in the permanent or temporary loss of crops, fruit trees and household infra-structure (such as granaries, outside toilets and kitchens, etc)?: Yes____No_____ CONSTRUCTION RELATED ACTIVITIES Volume II Resettlement Policy Framework Page 74 Pilot Program For Climate Resilience Will construction or operation of the Project use large amounts of local natural resources such as water, timber, gravel from river beds, stones especially any resources which are non-renewable or in short supply?: Yes___No_____ Will the Project involve use, storage, transport or handling of substances or materials which could be harmful to human health or the environment?: Yes___No_____ Will the Project produce solid wastes during construction or decommissioning? Yes___No_____ Will construction require the use of heavy machinery or equipment?: Yes___No_____ Operational Phase Will the Project result in the production of solid wastes during the operational phase? Yes___No_____ Will the Project result in hazardous wastes during the operational phase? Yes___No_____ Will the Project produce waste water that require drainage?: Yes___No_____ Will the Project require community management of the services?: Yes___No_____ Volume II Resettlement Policy Framework Page 75 Pilot Program For Climate Resilience D. PROPOSED ACTION All the above answers are ‘NO’ If all the above answers are ’NO’ there is no need for further action. The CDL and VDA will sign this form, and attach it to the project proposal before forwarding it to the RO for further processing. There is at least one ‘YES’ If there is at least one ‘YES’ describe your recommended course of action in the space below. If more space is needed, attach a separate sheet to the checklist. If there will be land acquisition, please follow the outline provided in Annex A of this RPF in completing this form. _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _____________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _____________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ _____________________________________________________________________ Signed: __________________________ Volume II Resettlement Policy Framework Page 76 Pilot Program For Climate Resilience Chairman, CDL __________________________ Member, CDL __________________________ Member, CDL __________________________ Member,CDC Volume II Resettlement Policy Framework Page 77 Pilot Program For Climate Resilience E. RECOMMENDATION OF PMU COORDINATOR Circle one of the following screening recommendations: 1. All answers to the questions in Section D above are “No,� and there is no need for further action, circle the ‘NO’ below and sign this form NO Signed: _____________ ___________________________ SPIU Coordinator 2. For all issues indicated by “Yes� answers to the questions in Section D above, the proponent has included adequate mitigation measures in the project design. While no further planning action is required, implementation of the mitigation measures will require supervision by the appropriate agency. YES Signed:_______________ ___________________________ SPIU Coordinator 3. For all checklist questions with “Yes� answers in Section D above (specify questions numbers), specify whether or not the proponent has provided adequate mitigation measures. Where measures are deemed inadequate, the proponent must revise the proposed project plan to provide adequate mitigation. Volume II Resettlement Policy Framework Page 78 Pilot Program For Climate Resilience Also note whether specialist advice may be required in the following areas: __________________________________________________________ 4. For all checklist questions with “Yes� answers in Section D above (specify question numbers), indicate whether or not the proponent must prepare an environmental assessment of the proposed project, and revise the project plan according to the results of that assessment. Also note whether specialist advice will be required in the following areas: __________________________________________________________ Signature: ______________________ SPIU Coordinator Date : ______________________ Volume II Resettlement Policy Framework Page 79 Pilot Program For Climate Resilience APPENDIX 5:RESETTLEMENT SUMMARY DATA SHEETS POPULATION CENSUS, ASSET INVENTORY AND SOCI0-ECONOMIC SURVEY Number of families who live on the parcel of land to be taken: _________ CURRENT HOUSING FAMILY HOUSE PLOT SIZE HOUSE CONSTRUCTION OTHER OTHER (M2) DIMENSIONS MATERIALS INFRASTRUCTURE OBSERVATIONS (M2) ; (Number of Rooms) (E.G., WELL, LATRINE, FENCE) PAP 1. PAP 2 PAP 3 … Observations on Housing: PAP 1 : ___________________________________________________ PAP 2 : ___________________________________________________ PAP 3 : ___________________________________________________ REPLACEMENT HOUSING COST FAMILY HOUSE PLOT COMPENSATION HOUSE COMPENSATION OTHER INFRASTRUCTURE TOTAL (M2) (E.G., WELL, LATRINE, FENCE Replace Cash Comp m2 Kwacha / Total Item Kwacha/ Total Volume II Resettlement Policy Framework Page 80 Pilot Program For Climate Resilience in-Kind Kwacha/ Total m2 / per 2 m (same building materia ls PAP 1 PAP 2 PAP 3 … Totals Number of businesses on the parcel of land to be taken : _________ CURRENT BUSINESSES BUSINESS TYPE PLOT SIZE (M2) BUSINESS CONSTRUCTION OTHER OTHER MATERIALS INFRASTRUCTURE OBSERVATIONS (E.G., TAILOR, DIMENSIONS (M2) ; HARDWARE STORE, (Note whether (E.G., WELL, (E.G., AMOUNT OF GRAIN SELLER) structure, kiosk LATRINE, FENCE) INVENTORY, or table ; for NUMBER OF structure, EMPLOYEES, number of MONTHLY PROFITS) Rooms) 1. 2. 3. … Observations on Businesses : 1: ___________________________________________________ 2: ___________________________________________________ 3: ___________________________________________________ Volume II Resettlement Policy Framework Page 81 Pilot Program For Climate Resilience REPLACEMENT COSTS BUSI-NESS PLOT COMPENSATION STRUCTURE COMPENSATION OTHER INFRASTRUCTURE LOST WAGES, PROFITS (PER TOTAL MO.) (M2) (E.G., WELL, LATRINE, FENCE Replace Cash Comp m2 Kwacha/m2 Total Item Kwacha/ Tot Employee Profit in-Kind / per Kwacha/ Tot (same No. Wage m2 building materials) PAP 1 PAP 2 PAP 3 … Totals Number of Agricultural Plots Taken: __________________ FARMER LAND CROPS TREES OTHER INFRASTRUCTURE. TOTAL PAP m2 In-kind Cash Crop Value Tota Timber Fruit Item Value Total (kg/h l (and a) (Kwa Species Value Species Yield Value cha (Pro Kwacha/ /ha) d ha (Kwacha/ m2) x kg) Kwa cha /ha) 1. 2. 3. Volume II Resettlement Policy Framework Page 82 Pilot Program For Climate Resilience ... Totals APPENDIX 6: GRIEVANCE PROCESS GRIEVANCE REGISTRATION FORM Plaintiff: _____________________________________________ ID Number :___________________________________________ Contact Information :_______________________________________________________ (Village ; mobile phone) Property Contested :________________________________________________________ (Type, e.g. land, house) Location :_________________________________________________________________ Description of Property :_____________________________________________________ _________________________________________________________________________ Volume II Resettlement Policy Framework Page 83 Pilot Program For Climate Resilience Nature of Complaint : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ___________________________________________________________ Record of Prior Contacts and Discussions of Issues to Date: Date Individuals Contacted Summary of Discussions Signed (Plaintiff) ;______________________________________ Date : _________________________ Signed (Filer of Complaint) : __________________________________________________________ Volume II Resettlement Policy Framework Page 84 Pilot Program For Climate Resilience Name of Person Filling in Complaint :______________________________________________________ (if different from Plaintiff) Position or Relationship to Plaintiff :________________________ Date : _________________________ Review of Complaint by Community Development Committee Date of Conciliation Session : ______________________________________ Was Plaintiff Present ? : Yes No Topic _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Was field verification of complaint conducted ?: Yes No Findings of field investigation : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ________________________________ Summary of Conciliation Session Discussion : Volume II Resettlement Policy Framework Page 85 Pilot Program For Climate Resilience Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Was agreement reached on the issues ?: Yes No If agreement was reached, detail the agreement below : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ________________________ If agreement was not reached, specify the points of disagreement below : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ________________________ Signed : ___________________________ Signed : ________________ Chairperson, CDC Plaintiff Signed : ___________________________ Signed : ________________ Member, CDC Volume II Resettlement Policy Framework Page 86 Pilot Program For Climate Resilience Signed : ___________________________ Signed : ________________ Member, CDC Signed : ___________________________ Signed : ________________ Member, CDC Date : ___________________________ Grievance Registration Form Review of Complaint by Project Management Unit Date of Conciliation Session : ______________________________________ Was Plaintiff Present ? : Yes No Topic _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Was field verification of complaint conducted ?: Yes No Findings of field investigation : _______________________________________________________________________________ _______________________________________________________________________________ Volume II Resettlement Policy Framework Page 87 Pilot Program For Climate Resilience _______________________________________________________________________________ ________________________ Summary of Conciliation Session Discussion : Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Issue _______________ : _______________________________________________________________________________ _______________________________________________________________________________ _________________________________________________ Was agreement reached on the issues ?: Yes No If agreement was reached, detail the agreement below : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ________________________ If agreement was not reached, specify the points of disagreement below : _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ ________________________ Signed : ___________________________ Signed : ________________ PMU Coordinator Volume II Resettlement Policy Framework Page 88 Pilot Program For Climate Resilience Plaintiff Signed : ___________________________ PMU Member Date : ___________________________ Volume II Resettlement Policy Framework Page 89 Pilot Program For Climate Resilience APPENDIX 7: MONITORING FORMATS The monthly (or periodic) field report from each village development group should recount the progress to date and in the immediately prior month. It is necessary to report only on those aspects of land and asset acquisition that are relevant in the specific project (i.e., land, houses, businesses, crops, and/or trees, whatever is in fact taken). In that context, the following summary tables should be of use in organizing the reporting of project information. When the resettlement operation is completed, a PAP satisfaction survey (last matrix) should be added. Village: __________________ Region: _________________ Project Name:___________________ Month Covered:__________________ PAP: (for satisfaction survey) LAND IN-KIND COMPENSATION CASH COMPENSATION (REPLACEMENT PLOT) [ENTER NUMBER OF CASES] PAP [ENTER NUMBER OF CASES] IDENTIFIED AGREED TITLE IN COMPENSATION COMPENSATION NEW PLOT NEW IN TO BY TRANSFERRED PRODUCTION AGREEMENT PAID IDENTIFIED PLOT PRODUCTION PAP BY PAP ACQUIRED BY PAP 1 2 3 … Total Volume II Resettlement Policy Framework Page 90 Pilot Program For Climate Resilience HOUSES/BUSINESS LOCALES: IN-KIND COMPENSATION PAP IN-KIND COMPENSATION SUPPLEMENTARY PAYMENTS HOUSE/SHOP HOUSE/ PAP BUSINESS ITEM PAID RE-PLACED UNDER SHOP RELOCATED CONSTRUCTION OPEN READY AGAIN 1. 2. 3. … Totals HOUSES/BUSINESS LOCALES: CASH COMPENSATION PAP CASH COMPENSATION SUPPLEMENTARY PAYMENTS HOUSE/SHOP AMOUNT PAID FOUNDA HOUSE/ SHOP PAP BUSINESS ITEM AM PAID RE-PLACED UNDER TION/ RELOCAT T CONSTRUCTION WALLS READY FOR ED OPEN UP OCCUPATION AGAIN 1. 2. 3. …. Totals Volume II Resettlement Policy Framework Page 91 Pilot Program For Climate Resilience CROPS, TREES PAP CROP OR TREE VALUATION PAID TREE SEEDLINGS SPECIES AMOUNT PROVIDED (AMOUNT) (YES/NO) 1. 2. 3 ….. Totals PAP SATISFACTION WITH RESETTLEMENT PROGRAM Fully Partly Partly Wholly Extent of Satisfied Satisfied Dissatisfied Dissatisfied Information Provided (1-5, where 5 represents fully informed) Project information provided Usefulness of public meetings Individual consultations Individual negotiations Compensation amount Timeliness of compensation Handling of any grievance Volume II Resettlement Policy Framework Page 92 Pilot Program For Climate Resilience (Enumerator: Please inquire into the cause for any dissatisfaction): _______________________________________________________________________________________ _______________________________________________________________________________________ ______________________________________________________________________________ Signed: ________________________________ Position: ________________________________ (Responsible Officer of Monitoring Agency) Date: ________________________________ Signed: ________________________________ Position: SPIU Coordinator Date: ________________________________ [NOTE: Report can include tables for last month, for month previous to last, and the comparison, which is progress last month. Table for last (i.e., most current full month) is also the table for progress to date.] Volume II Resettlement Policy Framework Page 93 Pilot Program For Climate Resilience APPENDIX 8: OUTLINE FOR A RESETTLEMENT ACTION PLAN A Resettlement Action will include the following elements Section A: Project description (and alternatives considered to minimize resettlement) Section B: Project impacts regarding resettlement (including those identified during the census and socio-economic survey) Section D: Population census, asset inventory and baseline socio-economic survey Section E: Type and extent of losses incurred by each PAP Section F: Compensation for each loss, including valuation procedures Section G: Resettlement site preparation (if any, including institutional arrangements for the physical transfer of relocates) Section H: Economic rehabilitation measures required (if any) Section I: Implementation timetable for resettlement and construction activities Section J Detailed budget, by activity, with sources of funds identified. Annex A: Matrix of losses Annex B: Photographs of properties to be acquired (optional) Annex C: Map of resettlement site (if any) Annex D: Construction plan for replacement structures (if any) Volume II Resettlement Policy Framework Page 94