RESETTLEMENT POLICY FRAMEWORK (RPF) ZAMBIA RENEWABLE ENERGY FINANCING FRAMEWORK

Transcription

1 RESETTLEMENT POLICY FRAMEWORK (RPF) ZAMBIA RENEWABLE ENERGY FINANCING FRAMEWORK i

2 TABLE OF CONTENTS LIST OF ACRONYMS AND ABBREVIATIONS... iv DEFINITIONS... v 1.0 INTRODUCTION Background Resettlement Policy Framework Purpose Objectives of the Resettlement Policy Framework The RPF Methodology POTENTIAL RESETTLEMENT IMPACTS AND SAFEGUARDS APPROACH Monitoring and Evaluation POLICY AND LEGAL FRAMEWORK GOVERNING RESETTLEMENT The Zambian Legal Framework Affecting Resettlement Constitution of Zambia National Resettlement Policy Land Tenure and Delivery System in Zambia Specific Legislation on Land AfDB Involuntary Resettlement Policy Operational safeguard 2 Involuntary resettlement: land acquisition, population displacement and compensation Overlaps and Gaps between the Zambian Legislation and AfDB Involuntary Resettlement policy Overlaps Gaps Measures to Close the Gaps PRINCIPLES AND STRATEGIES GUIDING RESETTLEMENT IN THE FRAMEWORK Principles to Guide Resettlement RPF Strategies RESETTLEMENT ACTION PLAN PREPARATION, REVIEW AND APPROVAL Compliance with AfDB Requirements and the National Resettlement Policy Framework Scope of Resettlement Action Plans Categories of People likely to be displaced Analysis of Methods to be applied in Identifying displaced People Steps in Preparing Resettlement Action Plans Preliminary Assessments of Sub-Projects Preliminary Information Socio-economic Baseline Census ARAP/Resettlement Action Plan Disclosure Process Implementation and Monitoring of Resettlement Action Plans ii

3 6.0 ELIGIBILITY CRITERIA FOR DEFINING VARIOUS CATEGORIES OF AFFECTED PERSONS Principles of Developing Eligibility Criteria Determination of Cut-Off Date for Compensation Description of Categories of Affected People and Type of Losses Affected Individuals Affected Households Affected local community Vulnerable Households Entitlements Related to Impacts Entitlements and Compensation Matrix ASSET VALUATION AND COMPESANTION Overview of the AfDB Recommended Valuation Method DESCRIPTIONS OF COMPLAINTS AND GRIEVANCE REDRESS MECHANISMS ARRANGEMENTS FOR MONITORING AND EVALUATION Scope of Monitoring Development of Verifiable Indicators RPF AND RAP IMPLEMENTATION ARRANGEMENTS CAPACITY BUILDING REQUIREMENTS ANNEXES Annex 1: List of Stakeholders Consulted During the Preparation of the RPF and ESMF Annex 2: Resettlement and Compensation Screening Checklist Annex 3 - Format of Resettlement Action Plan Annex 4: RAP Grievance Registration Form Annex 5 - Grievance Registration Form - Review of Complaint by Project Implementation Unit Annex 6: Sample Budget Template for the RAP iii

4 LIST OF ACRONYMS AND ABBREVIATIONS AfDB AIDS ARAP CBOs DDCC EIA EMA EPB ESAP ESAP ESIA ESMF ESMP FI FRAP GCF GBV GRZ HIV IAES IESIA IR IPP ISS LoC M&E MOMEWD MSME MW NGO OS PAPs PIU PPP PSC PV RAP RE REFiT REA RPF SME TA TOR ZANACO ZEMA ZESCO African Development Bank Acquired Immune Deficiency Syndrome Abbreviated Resettlement Action Plan Community Based Organizations District Development Coordination Committee Environmental Impact Assessment Environmental Management Act Environmental Project Brief Environmental and Social Assessment Procedures, AfDBs Zambia Electricity Supply Access Project Environmental and Social Impact Assessment Environmental and Social Management Framework Environmental and Social Management Plan Financial Intermediary Full Resettlement Action Plan Green Climate Fund Gender Based Violence Government of the Republic of Zambia Human Immunodeficiency Virus Increased Access To Energy And ICT Services Integrated Environmental and Social Impact Assessment Involuntary Resettlement Independent Power Producer Integrated Safeguard System Line of Credit Monitoring and Evaluation Ministry of Mines, Energy and Water Development Micro Small and Medium Enterprises Mega Watt Non-Governmental Organisation Operational Safeguard Project Affected Person(s) Project Implementing Unit Public Private Partnership Project Steering Committee Photo Voltaic Resettlement Action Plan Renewable Energy Renewable Energy Feed-in-Tariff Rural Electrification Authority Resettlement Policy Framework Small And Medium Enterprise Technical Assistance Terms Of Reference Zambia National Commercial Bank Zambia Environmental Management Agency Zambia Electricity Supply Company Limited iv

5 DEFINITIONS Affected Population Census Consultation Cut-off Date Disadvantaged Groups Displaced Persons Eligibility Entitlement Environmental and Social Assessment Procedures (ESAPs) Environmental and Social Impact Assessment (ESIA) Environmental and Social Management Framework (ESMF) Defined 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 lands, resources such as forests, range lands, fishing areas, important cultural sites, commercial properties, tenancy, income-earning opportunities, and social and cultural networks and activities A complete and accurate count of the population that will be affected by land acquisition and related impacts. When properly conducted, the population census provides the basic information necessary for determining eligibility for compensation and for preparing and Money or payment in kind to which the people affected by the project are entitled to, as decreed by government regulations or laws in order to replace the lost asset, resource or income. The means by which a project communicates with the people living in the project s area of influence, as well as with other relevant stakeholders - a two-way process between a project and its affected communities / other stakeholders. Date by which PAPs and their affected assets have been identified and new entrants to the site cannot make claims to compensation or resettlement assistance. Persons whose ownership, use of occupancy prior to the cut-off date can be demonstrated remain eligible for assistance, regardless of their identification in the census. Distinct groups of people that may suffer dis-proportionaly from project related activities (e.g. female-headed households, children, elderly, ethnic, religious and linguistic minorities, handicaps, etc.). The people or entities directly affected by a project through the loss of land and the resulting loss of residences, other structures, businesses, or other assets. The criteria for qualification to receive benefits under a resettlement programme. Range of measures comprising compensation, income restoration, transfer assistance, income substitution, and relocation which are due to affected people, depending on the nature of their losses, to restore and improve their economic and social base. The Bank s procedures for applying its Oss to its operations, setting out the steps to be followed by borrowers/clients and Bank staff at different stages of the project cycle. A tool to identify and assess the likely environmental and social impacts of a proposed project, to determine their magnitude and significance, and to define management or mitigation measures designed to avoid and minimize where possible, or if not, to offset or compensate for adverse impacts and risks. An instrument, to be applied in the context of programmatic lending that sets out a unified process for assessing and managing all environmental and social safeguard issues for subprojects from preparation, through appraisal and approval, to implementation. v

6 Environmental and Social Management Plan (ESMP) Environmental and Social Management System (ESMS) Environmental and Social Screening Expropriation Financial Intermediary (FI) Full Cost of Resettlement Grievance and Redress Mechanisms (GRM) Host Community Household Head Household Indigenous Peoples Integrated Safeguard System (ISS) Integrated Safeguard Tracking System (ISTS) An instrument developed as the outcome of an ESIA of a proposed project that sets out the action plan of environmental and social management measures to be implemented by the borrower or client. An instrument, developed in the context of finance for Financial Intermediaries (FIs), to apply the requirements of the Bank s OSs to the subprojects financed by the FI in a manner appropriate to the scale and nature of the FI s operations. It provides a framework for integrating environmental and social risk management into the FI s business processes. An instrument used by Bank staff in the early stages of the project cycle, according to provisions of the ESAPs, to determine the Environmental and Social Assessment Category of a specific operation. The action of a government in taking or modifying property rights of an individual in the exercise of its sovereignty. A financial institution, such as a bank, insurance or leasing company or micro-finance provider, to which the Bank may provide finance that will be lent on to or invested in subprojects. Compensation based on the present value of replacement of the lost asset, resource or income without taking into account depreciation. A systematic process for receiving, evaluating and facilitating resolution of affected people s project-related concerns, complaints and grievances about the borrower s/client s social and environmental performance on a project. Community residing in or near the area to which affected people are to be relocated. For purposes of a census, the household head is considered to be that person among the household members who is acknowledged by other members of the household as the head and who is often the one who makes most decisions concerning the welfare of the members of the household The term household refers to a group of people who reside together and share in the functions of production and consumption. It is also the smallest unit of consumption, and sometimes production. Social or cultural groups recognized as Indigenous Peoples, either by national legislation or according to their own identification as members of a distinct cultural group with collective attachment to geographically distinct habitats or ancestral territories; having customary cultural, economic, social or political institutions separate from the dominant society or culture; and an indigenous language often different from the official language of the country The Bank s environmental and social safeguards system, incorporating an Integrated Safeguards Policy Statement; a set of Operational Safeguards (OSs) and a revised set of Environmental and Social Assessment Procedures (ESAPs). It also includes an updated set of Guidance Notes and Sector Keysheets. A Bank database system to act as a repository for and to track key safeguard compliance information linked to the progress of the project cycle and to provide a means of making safeguard compliance information accessible to the public. vi

7 Involuntary Resettlement Livelihood Restoration Operational Safeguards (OSs) Physical Cultural Heritage Project Project Area Rehabilitation Relocation Resettlement Action Plan (RAP) Resettlement Impacts Resettlement Plan Resettlement Scoping Voluntary resettlers Development project results in unavoidable resettlement losses, which people affected, have no option but to rebuild their lives, incomes, and asset bases elsewhere. Involuntary resettlers are thus people of all ages, outlooks and capabilities, many of whom have no option but to give up their assets. Bank policy designates involuntary resettlers as requiring assistance. Measures required to ensure that Project Affected Persons (PAPs) have the resources to at least restore, if not improve, their livelihoods. It requires that people are given the means and assistance necessary for them to improve, or at least restore, their livelihood and living conditions to pre-project levels. Inventory of Losses means the preappraisal inventory of assets as a preliminary record of affected or lost assets. A set of brief and focused policy statements that clearly set out the operational environmental and social requirements with which Bank financed operations must comply. Unique and often nonrenewable resources that possess cultural, scientific, spiritual, and/or religious value and includes moveable or immovable objects, sites, structures, groups of structures, natural features, or landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural value. In this RPF the phrase project means AfDB-GCF RE Investment Framework Areas in and adjacent to the construction areas and other areas to be modified by the project (e.g. impoundment of reservoirs, rights of way for infrastructure projects, irrigation command areas) Re-establishing incomes, livelihoods, living, and social systems. Rebuilding housing, assets, including production land, and public infrastructure in another location. A comprehensive planning document that specifies the procedures that an involuntary resettlement process shall follow, and the actions that shall be taken to compensate affected people and communities. The direct physical and socio-economic impacts of resettlement activities in the project and host areas. A time-bound action plan with budget setting out resettlement strategy, objectives, entitlement, actions, responsibilities, monitoring and evaluation. The entire process of relocation and rehabilitation caused by project related activities. An early step in the ESIA process that aims to focus the remainder of the ESIA on those impacts that are likely to result in significant effects. This is achieved through data collection and stakeholder engagement, followed by analysis of the information gathered. Ideally, the scoping process should also identify the potential impacts that can be avoided through early stages of project design. Voluntary resettlers are generally self-selected, young, and willing to pursue new opportunities. Voluntary settlement may form part of a resettlement plan, provided measures to address the special circumstances of involuntary resettlers are included. vii

8 Vulnerable Groups Those groups within a project s area of influence who are particularly marginalized or disadvantaged and who might thus be more likely than others to experience adverse impacts from a project. Vulnerable status may stem from a group s gender, economic status, ethnicity, religion, cultural behaviour, sexual orientation, language or physical and psychological health conditions. viii

9 1.0 INTRODUCTION 1.1 Background The Project description and the anticipated projects components have been presented in the ESMF document for the project. Since, the specific sites where subprojects will be carried out have not yet been selected; the proper safeguard instrument to be prepared for compliance with the GCF requirements and the AfDB operational Safeguard policies is a Resettlement Policy Framework (RPF). While any resettlement activities are expected to be minimal, this RPF defines the process by which potential subproject resettlement impacts leading to the need for a RAP will be screened, and impact assessment and compensation measures developed and implemented. Once the subprojects, specific sites and the beneficiary communities have been defined, all sub-projects and activities will be screened and the appropriate Mitigation tools such as ESIAs, ESMPs and RAP/ARAP will be developed were applicable in line with the provisions of the local regulations and AfDB safeguards. In implementing the framework, the Government recognises the need to take into account the socio-economic impacts of the different interventions under the project. This Resettlement Policy Framework (RPF) provides the necessary background to ensure that any subprojects that might involve land acquisition and/or resettlement and loss of livelihoods of any people will comply with both Zambian law and the Bank's Operational Safeguards. The RPF will prescribe the process from the preparation, through review and approval to implementation of the sub-projects that will ensure that the substantive concerns of all African Development Bank s Operational Safeguards and relevant Zambian policy and legal frameworks will be adequately addressed. The guidelines contained in this RPF are based on relevant Zambian legislation and AfDB Policy on involuntary resettlement, which recognizes compensation for loss of assets or income as a fundamental right of all project affected persons. Since, only projects that fall under category B of the AfDB ISS categorization, Abbreviated Resettlement Action Plans (ARAPs), where applicable, consistent with the guidance prescribed in this RPF, will be submitted to the AfDB and the Zambia Environmental Management Agency (ZEMA) for approval once specific information about land expropriation becomes available. The RPF describes the general context for the Project, the objectives and principles of any resettlement to be caused by the project, design criteria for the resettlement of affected persons in the course of implementation of the project, the legal context, the process for the preparation of a RAP, the content of a Plan, the process for its execution and finally the required institutional organization. 1.2 Resettlement Policy Framework Purpose Involuntary resettlement involves the displacement of people arising from development projects which encroach on their productive assets, cultural sites and income sources viz, land, grazing fields, other assets, etc. What distinguishes involuntary from voluntary resettlement is that the former involves people who may be displaced against their wishes, as they are often not the initiators of their movement. Therefore, involuntary resettlement if not mitigated can have a dramatic impact on the lives of the people living in an area of influence of development projects. It can cause a sudden break in social continuity and can result in impoverishment of the people who are relocated. The resettlement may 1

10 provoke changes, which could dismantle settlement patterns and modes of production, disrupt social networks, cause environmental damage, and diminish people s sense of control over their lives. It can threaten their cultural identity and create profound health problems. The implementation of the Framework may trigger the involuntary resettlement policy because land may be acquired for sub-projects activity purposes and affected persons will need to be compensated for loss of land, crops, dwellings and other structures, and livelihoods. This Resettlement Policy Framework (RPF) has therefore been prepared to appropriately deal with matters such as the necessity for land acquisition, compensation and resettlement of people affected by the implementation of the sub-projects. When this occurs, the provisions of the National Resettlement Policy, other relevant policies and laws such as the Lands Act Cap 184 and Land Acquisition Act of Cap 189, as well as the AfDB Operational Safeguard, OS 2 on Involuntary Resettlement will be triggered. 1.3 Objectives of the Resettlement Policy Framework The overall objective of the RPF is to provide guidance on how to deal with issues relating to land acquisition, compensation and resettlement during the implementation of the project. This will ensure that displaced and resettled persons are compensated for their loss at replacement cost, given opportunities to share in project created benefits, and assisted with the move and during the transition period at the resettlement site. Focus should be on restoring the income earning capacity of resettlers and those displaced beneficiaries of the project. The aim of the resettlement policy is not only to improve or at least sustain living conditions but also to facilitate project implementation by helping ensure that project activities are compatible with local interests and concerns. The Resettlement Policy Framework (RPF) has been developed as a separate document to address matters that relate to involuntary resettlement. The overall objective of this RPF is to provide guidance on how to deal with issues relating to land acquisition, compensation and resettlement during the implementation of the sub-projects. The specific objectives of the RPF are as follows: to minimize, as much as possible, acquisition of land for implementation of project subcomponents, where such acquisition or project related activities will result in adverse social impacts, to ensure that where land acquisition is necessary, this is executed as sustainable programs to enable people share in the project benefits, to ensure meaningful consultation with people to be affected or displaced; and to provide assistance that will mitigate or restore the negative impacts of the project implementation on the livelihoods of people affected in order to improve their livelihoods or at least restore to pre-project levels. outline roles and responsibilities by various stakeholders in the planning, implementation, monitoring and evaluation of resettlement activities. It further seeks to: Allow redress among communities affected by project activities; and Reduce stress on project affected communities/households. 2

11 The operational objective of the framework is to provide guidance to stakeholders participating in the mitigation of adverse social impacts of the project, including rehabilitation/resettlement operations, in order to ensure that project affected persons (PAPs) will not be impoverished by the adverse social impacts of the project. The target groups for the RPF are ZESCO Limited, Rural Electrification Authority (REA), selected Local Financial Intermediaries, other Government departments relevant to the implementation of the Framework, Sub-projects Proponents implementing off-grid sub-projects, and ZEMA. Other institutions include Local Authorities and relevant Non-Governmental Organizations (NGOs). It is expected that public discussion of the RPF will not only result in better planning and implementation but also, reduce litigation and poverty where resettlement cannot be avoided. 1.4 The RPF Methodology The preparation of this RPF has largely been undertaken on the basis of secondary data from within the Zambian Government and the AfDB to gain insight into the AfDB and Zambian policy and legal framework on resettlement related issues. Reference has also been made to similar frameworks prepared for projects proposals for the Zambian Government. Relevant stakeholders have been consulted during the preparation of the AfDB-GCF RE Investment Framework (see Annex 1 for list of people consulted including RPF preparation). The RPF will be disseminated to key stakeholder institutions that may play a role in resettlement activities, including local government officials and traditional authorities should such cases arise during implementation of the project. Any ARAPs required when specific sub-component projects are known will be consulted with affected communities and disclosed at national and local levels through ZESCO and REA websites and by ZEMA. The ARAP shall also be posted in the Bank s Public Information Center (PIC) and the Bank s web site for public review and comments in accordance with the Bank s disclosure policy and the Bank s Environmental and Social Impacts Assessment Procedures (ESAP 2013). 2.0 POTENTIAL RESETTLEMENT IMPACTS AND SAFEGUARDS APPROACH The project includes a number of activities for which screening may be required leading to preparation of ESIAs, ESMPs and RAPs/ARAPs where applicable. Although impacts are expected to be minimal, infrastructure and construction related activities for both phases of the projects may require some land acquisition or the temporary or permanent displacement of crops, structures or persons. As noted above, the project will include on-grid connections and thus some small portions of land may need to be acquired by ZESCO for substations in case connection to the existing infrastructures will not be feasible. However most installations are expected to be situated in existing ZESCO wayleaves, on public lands under the jurisdiction of other government agencies, or on customary land allocated by traditional authorities. Some temporary relocation and compensation for lost assets and income of PAPs located where construction works will occur may be necessary. The project is expected to include LoC/grants component projects provided by solar projects and small hydro power projects. In this component, connection to the grid will be through a single generating plant with a total capacity below 20MW, connected to a distribution network 33 kv or below. The connection will be through ZESCO or potentially private utilities such as Copperbelt Energy Corporation network infrastructures and these Institutions will be informed of grid network requirements for a power plant being connected to their system. The grid connection from the single generating plant will be regulated through special guidelines that will be prepared. In this scenario, small portion of land will be needed for establishment of the power generating plant. Resettlement impacts from these subprojects are expected to be minimal. Experience from 3

12 previous RE projects proposals in Zambia e.g. ESAP, IAES, dictates that Solar PV projects will most likely be situated on public lands (e.g. schools or clinics which will be recipients for the electricity produced by the solar arrays), or on customary land allocated by traditional community leaders. The installations are not expected to cause any resettlement, and may at best require a minimal loss of assets (e.g. trees, other crops) needing to be cleared to install solar arrays, only if other open land cannot be found in the rural and sparsely populated communities targeted by the project. The small hydro power projects are expected to trigger a small extent of resettlement especially in cases where land will be needed for power house establishments. Consultations with affected communities will be held to ensure the relatively small footprints of all phase s installations will be sited so as to minimize or eliminate the need for any significant temporary or permanent resettlement or loss of assets or income. Government will be responsible any compensation (if required) for any land acquired for subprojects, or any other compensation for lost assets or income, from its own resources, independent of project funds. The RPF provides the procedures to address potential resettlement impacts. However, specific sub-project details such as the site locations and designs are not expected to be available during the course of project implementation. 2.1 Monitoring and Evaluation Monitoring is a crucial element for the success of any resettlement project as it is important to accurately verify the information related to implementation of the Resettlement Plan, and should be planned and costed as early as possible in the project. The monitoring will provide feedback to project management which will help keep the programs on schedule and successful. Monitoring Process In order to comply with AfDB requirements the overall internal monitoring procedures will include internal performance monitoring, Impact monitoring and final external evaluation. Section 9.1 of this RPF covers the scope of monitoring in detail. 4

13 3.0 POLICY AND LEGAL FRAMEWORK GOVERNING RESETTLEMENT This section of the RPF reviews the policy framework that is relevant to the AFDB-GCF RE Investment Framework 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 and AfDB Operational Safeguards. This section presents both aspects and identifies overlaps and gaps between the two. 3.1 The Zambian Legal Framework Affecting Resettlement 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. Suffice to mention that while there is currently no specific law or policy pertaining to involuntary resettlement in Zambia, the Zambian Government, in 2015 adopted the National Resettlement Policy. This is the first Resettlement Policy since the independence of the country. Further, there exists a Lands Tribunal that was set up to speedily settle or prevent land disputes. This section summarises the policy and legal framework for land administration including the institutions involved in each case. These legal provisions invariably have a bearing on resettlement in Zambia 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 Laws 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 National Resettlement Policy The National Resettlement Policy was adopted in October 2015 with the overall objective of establishing and protecting resettlement schemes that are economically productive, socially secure and environmentally sustainable for persons settled voluntarily or involuntarily. The Policy provides the following guidelines or guiding principles to be considered in ensuring the development of sustainable resettlement schemes include the following: All persons, groups and the communities have the right to suitable resettlement which include right to alternative land, which is safe, secure, accessible, affordable and habitable; 5

14 The choice of location for resettlement scheme should take into account elements such as topography, soil, climate, among other and be weighed against the requirements of the proposed land use; Government shall ensure that guidelines and procedures regarding settler selection criteria are clearly spelt out; There is need to provide basic public services in resettlement schemes if settlers are to be attracted and encouraged to settle there; The Government will as much as practicable encourage the use of the already existing Ministries/institutions to carry out activities relevant to their respective mandates in the resettlement schemes. This includes forging partnerships with all interested stakeholders, including cooperating partners, the private sector and NGOs; Involuntary resettlement should be in line with the international human rights and humanitarian law as set out in the 1998 United Nations Guiding Principles on Internal Displacement, which are recognised as an important international framework for the protection of internally displaced persons; Involuntary resettlement should be avoided where feasible. Where population displacement is unavoidable, it should be minimised by exploring all viable options; People unavoidably displaced should be compensated and assisted so that their economic and social future would be generally as favourable as it would have been in the absence of the project or better; Involuntary resettlement should be conceived and executed as part of the project The full cost of resettlement and compensation should be included in the presentation of project costs and benefits. To facilitate implementation of the Policy, the Department of Resettlement, falling under the office of the Vice President, is responsible for the actual resettlement process, with the following functions in line with the policy: Identification and acquisition of land for resettlement. Demarcation of resettlement plots. Processing applications for resettlement. Allocation of settlement plots to suitable applicants. Recommending deserving settlers to acquire certificate of titles to their farm plots from the Ministry of Lands. Co-coordinating provision of infrastructure in resettlement programme schemes and resettlement schemes. Apart from the Ministry responsible for Lands, the Department of Resettlement may be among the institutions consulted in the identification of land for resettlement and in issues relating to its functions as highlighted above Land Tenure and Delivery System in Zambia Land tenure refers to the way in which rights in land are held. Because the implementation of project may in a rare number of cases result in acquisition of small portions of land not already under control of the state or traditional authorities, 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 project purposes. 6

15 In Zambia, tenure is categorised into two tenure systems namely, statutory tenure and customary. (a) Statutory Tenure This 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 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 the Commissioner of Lands for issuance of 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. In terms of delivery, or the system to acquire state land, the District, Municipal or City Council identifies an area for which a layout plan is made, subdividing the identified land into several plots. For agricultural land, the relevant departments in the Ministry of Agriculture 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 as leaseholds, typically of 14 or 99 year duration. In cases where ZESCO or REA do not already have rights to statutory land required by the project, in collaboration with sub-projects proponents, they will seek to locate facilities on other private and public land, making willing seller/willing buyer negotiations, wherever possible. (b) The Customary Tenure This system applies in areas under the jurisdiction of traditional authorities (chiefs/chieftainesses). The traditional system of tenure is the most prevalent among the majority Zambians who live in rural areas, which is where sub-projects will be located Approximately 94% of the country is officially designated as customary Area. It is occupied by 73 tribes, headed by 240 chiefs, 8 senior chiefs and 4 paramount chiefs. With regard to land delivery, the prospective developer approaches the Chief or Chieftainess 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), he/she writes a consent letter to the office of the Council Secretary of the respective local government (town or district), 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 7

16 be inspected by a committee which deals with land matters in the area. The committee also interviews the applicant. 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. Traditionally, most allocations of customary lands do not involve monetary transactions, but may involve consultations with traditional authorities and their communities to ensure there is common agreement on land being allocated for community uses. In some cases where ZESCO or REA will require customary land for certain sub-project facilities (e.g. permanent substations) this land may need to be transferred to state authority Specific Legislation on Land The Laws of Zambia include various legislation and regulations with provisions covering different aspects related to land in various sectors provisions. These include the following: i. The Electricity Act of 1995 ii. The Land Act, Chapter 184 iii. Lands Acquisition Act Chapter 189 iv. The Local Government Act Chapter 281 v. The Town & Country Planning Act Chapter 283 vi. The Public Roads Act of 2002 vii. The Agricultural Lands Act viii. Arbitration Act No. 19 of 2000 ix. Environmental Management Act No. 12 of 2011 x. Rural Electrification Act No. 20 of 2003 xi. The Zambia Wildlife Act No. 12 of 2015 xii. The Land Survey Act xiii. The Land Conversion of Title Act xiv. The Forests Act of 2015 xv. The Valuation Surveyors Act Cap 207 xvi. Arbitration Act No. 19 of AfDB Involuntary Resettlement Policy The African Development Bank (AfDB) Group exists to contribute to poverty reduction in Africa by spurring sustainable economic development and social progress in its regional member countries (RMCs). The Bank Group is committed to avoiding or minimising adverse environmental and social impacts in its projects. As part of this effort, in 2003 it adopted its involuntary resettlement (IR) policy to cover any involuntary displacement and resettlement of people caused by a Bank-financed project. The policy applies when, because of a Bank project, people residing in the project area are compelled to relocate or they lose their shelter, their assets are lost or livelihoods affected, or their 8

17 access to natural resources is restricted. The primary goal of the IR policy is to ensure that when people must be displaced they are treated equitably and share in the benefits of the project that involves their resettlement. The policy aims to ensure that disruption to the livelihoods of people in the project area is avoided or at least minimised, and that the displaced persons receive resettlement assistance to improve their living standards. It provides guidance to Bank staff and borrowers, and sets up a mechanism for monitoring the performance of the resettlement programmes. Most importantly, it requires the preparation of a Resettlement Action Plan (RAP) under a development approach that addresses issues of the livelihood and living standards of the displaced persons as well as compensation for loss of assets, using a participatory approach at all stages of project design and implementation. A compliance audit of Bank s projects identified non-payment of compensation as the single most important cause of delay in project implementation, especially contributing to the delay between project approval and first disbursement Operational safeguard 2 Involuntary resettlement: land acquisition, population displacement and compensation This Operational Safeguard (OS) aims to facilitate the operationalization of the Bank s 2003 Involuntary Resettlement Policy in the context of the requirements of OS1 and thereby mainstream resettlement considerations into Bank operations. The AfDB Operational Safeguard 2 on Involuntary Resettlement is specifically relevant to this RE Framework. This operational safeguard aims at clarifying all issues related to economic, social and cultural impacts associated with projects that are funded by the Bank, which involve the involuntary loss of land, the involuntary loss of other assets (including the loss of buildings and properties of cultural significance, spiritual and social), or restrictions on land use and access to local natural resources. The objectives are: to avoid involuntary resettlement as much as possible, or minimize its impact and when involuntary resettlement is inevitable, alternatives to the project should be considered; ensuring that displaced persons are truly consulted and are given the opportunity to participate in the planning and implementation of the resettlement programs; and ensure that displaced persons receive substantial assistance for resettlement within the framework of the project, so that their standard of living, their ability to generate income, their production capacities, and all of their livelihoods are improved beyond what they were before the project. i. Scope of application of the OS It covers all components of a project, including activities resulting in involuntary resettlement that are directly and significantly related to a Bank-assisted project and necessary to achieve its objectives whether the resettlement is led by a government, a private sponsor, or both and carried out or planned to be carried out contemporaneously with the project. It aims to clarify all aspects of impacts related to land acquisition; issues related to physical and economic displacement but not specifically related to land acquisition are dealt with in OS1 In line with the framework in the involuntary resettlement policy, this OS covers economic, social and cultural impacts associated with Bank-financed projects involving involuntary loss of land, involuntary loss of other assets, or restrictions on land use and on access to local natural resources that result in: Relocation or loss of shelter by the people residing in the project area of influence; Loss of assets (including loss of structures and assets of cultural, spiritual, and other social importance) or restriction of access to assets, including national parks and protected areas or natural resources; or Loss of income sources or means of livelihood as a result of the project, whether or not the people affected are required to move. 9

18 When a project requires the temporary relocation of people, the resettlement activities should be consistent with this OS, while taking into account the temporary nature of the displacement. The objectives are to minimize disruption to the affected people, avoid irreversible negative impacts, provide satisfactory temporary services and where appropriate compensate for transitional hardships. This OS does not apply to the settlement of refugees and victims of natural disasters, nor to resettlement resulting from voluntary land transactions that is, market-based land transactions in which the seller is not obliged to sell and the buyer cannot resort to expropriation or other compulsory procedures if negotiations fail. 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 AfDB s policy on involuntary resettlements. ii. OS 2 Requirements The operational safeguard entails several requirements regarding involuntary resettlement. These include the following: Project design The borrower or client considers feasible alternative project designs, including re-siting and rerouting, to avoid or minimize physical or economic displacement, while balancing environmental, social, and financial costs and benefits. When the resettlement implications of a project would appear to be particularly severe, the borrower considers either downsizing the project to reduce resettlement or finding other alternatives that can reasonably replace the project. For greater transparency and fairness, the borrower or client involves all stakeholder groups as early as possible, at least at the time when the first project plans are drafted; before completion of the project design, including their inputs so that the project design can be properly altered; and continuing throughout implementation, particularly in monitoring and evaluating resettlement and compensation projects and programmes. Consultation, participation and broad community support The OS requires that the affected people be consulted about their preferences pertaining to resettlement and gives them genuine choices among technically, economically, and socially feasible resettlement options. In particular, they are given the opportunity to participate in the negotiation of compensation packages, and in decisions on resettlement assistance and how standards of living, income-earning capacity, production levels and overall means of livelihood might be improved through the Resettlement Action Plan. They are also consulted about decisions on eligibility requirements, the suitability of proposed resettlement sites and the proposed resettlement timings. The consultation of the affected people should follow all the requirements of stakeholders consultation, participation and broad community support as per guidelines provided in the AfDB IESIA Guidance notes. Open, inclusive and effective consultation with local communities includes the following elements: i. Appropriate notice to all potentially affected persons that resettlement is being considered and that there will be public hearings on the proposed plans and alternatives; 10

19 ii. iii. iv. Effective advance dissemination by the authorities of relevant information, including land records and proposed comprehensive resettlement plans specifically addressing efforts to protect vulnerable groups; A reasonable time period for public review of, comments on, and/or objection to any options of the proposed plan; and Public hearings that provide affected persons and/or their legally designated representatives with opportunities to challenge the resettlement design and process, and/or to present and discuss alternative proposals and articulate their views and development priorities. When displacement cannot be avoided, the borrower or client must consult in a meaningful way with all stakeholders, particularly the people affected and the host communities, and involve them at all stages of the project cycle in a clear and transparent manner in designing, planning, implementing, monitoring, and evaluating the Resettlement Action Plan discussed below. Community participation helps to ensure that compensation measures, development programmes and service provisions reflect the needs and priorities of the people affected and their hosts. Thus the borrower or client makes it a particular priority to incorporate local knowledge into the Resettlement Action Plan. Resettlement planning The borrower or client carries out a comprehensive socioeconomic survey in line with international standards for social and economic baseline studies as agreed to in the environmental and social assessment process including a population census and an inventory of assets (including natural assets upon which the affected people may depend for a portion of their livelihoods). This survey identifies the people who will be displaced by the project; all the relevant characteristics of those people, including conditions of vulnerability; and the magnitude of the expected physical and economic displacement. The baseline survey includes gender and age-disaggregated information pertaining to the economic, social and cultural conditions of the affected population. It contains various official materials (maps, numerical records, special reports, research and knowledge pieces, etc.), records of interviews with stakeholders about their preferences, supply chain due diligence material, and a protocol to fill any gaps in data and ancillary information, and it identifies opportunities to improve community welfare. The survey process also ensures that ineligible people, such as opportunistic settlers, cannot claim benefits. This information from the survey will determine the extent and magnitude of displacement and thus aid in planning effective resettlement. At a minimum, the borrower or client conforms to any relevant host government procedures. In addition, or in the absence of host government procedures, the borrower or client establishes a cutoff date for eligibility that is acceptable to the Bank. The borrower or client documents the cut-off date(s) and disseminates information about it (them) throughout the project area of influence in a culturally appropriate and accessible manner, before taking any action on clearing land or restricting local community access to land. Resettlement Action Plan The OS 2 requires the borrower or client prepares a Full Resettlement Action Plan (FRAP) for the following nature of displacement: (i) (ii) any project that involves 200 or more persons (as defined by the involuntary resettlement policy), or any project that is likely to have adverse effects on vulnerable groups. 11