MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT

Transcription

1 MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT Public Disclosure Authorized Kenya Informal Settlement Improvement Project (KISIP) Resettlement Action Plan for Infrastructure Upgrading Projects in Hill School, Racecourse, and Kimumu Hawaii Informal Settlements, Eldoret Town, Uasin Gishu County Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized May

2 FACT SHEET Project Name Assignment Name Kenya Informal Settlements Improvement Project (KISIP) Consultancy for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements Lead Implementing Agency Ministry of Transport, Infrastructure, Housing and Urban Development (MTIH&UD) Funding Agencies Government of Kenya, World Bank, AFD, SIDA Consultants GA Consultants, Pamoja Trust and IPE Global Start Date May 12 th 2014 Completion Date May 12 th 2015 Team Leader Eng. Sam Kibunja Deputy Team Leader Eng. Ben Omore Target settlements Hill School Racecourse Kimumu Hawai 2

3 This Resettlement Action Plan (RAP) for Infrastructure Upgrading of Hill School, Racecourse and Kimumu Hawaii informal settlements located in Eldoret Town Uasin Gishu County. The RAP has been prepared under Consultancy Services for Socio-economic Surveys, Infrastructure Upgrading Plans, Engineering Designs, Preparation of Bidding Documents, Environmental Impact Assessments and Resettlement Action Plans in Informal Settlements by GA Consultants Ltd in Association with Pamoja Trust and IPE Global on behalf of the Kenya Informal Settlements Improvement Project (KISIP). Report Prepared by: Signed.Date.... GODWIN LIDAHULI SAKWA LEAD EXPERT NEMA REG NO Checked by: Full name of Authorized representative: Signed Date. ENG ELISHA AKETCH GA CONSULTANTS LIMITED IN ASSOCIATION WITH PAMOJA TRUST & IPE GLOBAL Client: Signed.Date. KISIP COORDINATOR 3

4 MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT (MTIH&UD) LIST OF ACRONYMS AFD Agence Française de Development ESIA... Environmental Social and Impact Assessment EMSF... Environmental and Social Management Framework CG... County Government CGRC... Community Grievance Redress Committee KERRA... Kenya Rural Roads Authority KENSUP... Kenya Slum Upgrading Program KISIP... Kenya Informal Settlements Slum Upgrading Project KURA... Kenya Urban Roads Authority LA... Land Act MTIH&UD. Ministry of Transport, Infrastructure, Housing and Urban Development NLC... National Land Commission NEMA... National Environment Management Authority NGO s... Non-Governmental Organizations OP... Operations Policy PAD... Project Appraisal Document PAPs... Project Affected Persons PCT.. Project Coordination Team RAP... Resettlement Action Plan RPF... Resettlement Policy Framework SEC... Settlement Executive Committee SIDA.... Swedish International Development Cooperation Agency SWM... Solid Waste Management SUP... Settlement Upgrading Plans 4

5 WB... World Bank 5

6 LIST OF TABLES Table 1-1 Sub Projects and anticipated Resettlement Impacts Table 2-1: Public Meeting held within the Settlements Table 2-2: Outcome of Institutional Consultations Table 3-1: Relevant Laws Related to Resettlement Table 3-2: Statutory Institutions with Roles in the RAP process Table 4.2-2; Level of Education of the Household Members Hill School Table Monthly Household Income Hill School Table Main Activity of Adults (18 years and above) Hill School Table 4.3-1; Composition of Sample Households Racecourse Table 4.3-4; Level of Education of the Household Members Racecourse Table 4.3-6; Monthly Household Income Racecourse Table 4.3-7; Monthly Per Capita Expenditure of households Racecourse Table 7.7: Monthly Per Capita Expenditure of Households Race Course Table 4.3-9; Main Activity of Adults (18 years and above) Racecourse Table 5-1 Type and Numbers of Structures Table 5-3 Project Affected Persons losing Income Table 5-4 Project Affected Persons per Settlement Table 6-1: Entitlement Matrix Table 8-1: RAP Monitoring Plan Table 9-1: Statutory Institutions with Roles in the RAP process Table 9-2: RAP Implementation Schedule Table 10-1 RAP Estimate Budget

7 LIST OF FIGURES Figure 4.2: Map of the four Target Settlements in the Eldoret Town Figure 5-1: Materials of structures Figure 5-2 Ownership of the structures Figure 5-3 Type of common business in the Settlements

8 EXECUTIVE SUMMARY The Ministry of Transport, Infrastructure, Housing and Urban Development (MTIH&UD) is implementing the Kenya Informal Settlements Improvement Project (KISIP) in 14 counties. Uasin Gishu is one of the Counties chosen to participate in the Project. The Project is jointly financed by the World Bank, the Swedish International Development Agency (SIDA), the French Agency for Development (AFD), and the Government of Kenya (GoK). The Project s development objective is to improve the living condition of people living in the informal settlements through securing land tenure and provision of infrastructure and services. In Uasin Gishu (Eldoret town), KISIP has proposed to implement infrastructure improvement projects in three informal settlements namely, Hill School, Racecourse and Kimumu Hawai. The type of infrastructure that will be implemented in the settlements include: roads and drainage; water and sewerage; and flood lighting. These projects will be responding to the current challenges within the settlements as identified and prioritized through community consultation. The socio-economic studies, feasibility studies, and detailed engineering designs have been completed. The Resettlement Action Plan (RAP) prepared for the Projects established that implementation of the proposed Projects will trigger minor displacement of assets and livelihoods. However, no private land will be expropriated as all the affected assets are encroachments on designated public way leaves. This Resettlement Action Plan (RAP) has been prepared in conformity with the World Bank s Operational Policy on Involuntary Resettlement (OP 4.12), and the Project s Resettlement Policy Framework (RPF). The preparation of this RAP involved review of key documents including the Project Appraisal Document (PAD), Resettlement Policy Framework (RPF), a separate socio-economic survey report for the settlements prepared during project conceptualization, the survey plans, and Physical Development Plans (PDPs). Moreover, the methodology also involved field work; consultations 8

9 with the community, project affected persons, and other stakeholders; socio-economic survey of the PAPs, census of affected assets and persons; valuation; and preparation of PAP registers. Consultations with the PAPs have been undertaken to discuss and agree on the mitigation options. The PAPs recognize that they illegally occupy land reserved for infrastructure development particularly roads and are willing to remove their structures and temporal businesses to pave way for the project. The population affected by this project includes people occupying land on the road reserve in violation of Kenyan laws. These groups of people; who are often referred to as encroachers, are not entitled to compensation for loss of land under both the OP 4.12 and the Government of Kenya laws. However, they are entitled to compensation for any improvements made to the land as well as to resettlement assistance to an area where they can live legally if they occupied the project area before an established cut-off date. A census and socio-economic survey of the Project-Affected Persons (PAPs) was undertaken and a PAP Register prepared. A total of 187 persons will be affected by the project distributed as follows: Hill School (102), Racecourse (13) and Kimumu Hawaii (72). 1 of the PAPs was identified as vulnerable, is elderly and mentally challenged. The kinds of losses identified were temporary structures, house extensions erected on way leaves, and temporary market stalls and kiosks. In addition, livelihood losses have been identified for traders who sell their wares on the road corridors and will move to alternative sites. The floodlights will be placed on public land that is available and drainage runs parallel to the roads being upgraded, so there will be no additional displacement impacts. A valuation of the affected assets and livelihoods has been undertaken and an entitlement matrix and compensation package proposed in this RAP. The RAP proposes the settlement of compensation and resettlement assistance before the commencement of the project. Approximately Kshs. 5,915, has been provided as a budget to implement the RAP. 9

10 The project will not result in large scale disruptions of livelihoods and displacement as it is upgrading existing infrastructure (roads and drainage), and the design follows the designated way leaves. It will not result in loss of land and the need to compulsorily acquire private land. The positive impact is that the construction of the proposed infrastructure (roads, drainage, security lighting and water and sewerage) will greatly improve the living conditions of the inhabitants in all the four settlements. With the implementation of mitigation measures, including those proposed in this RAP, the overall social impacts of the project will be minimal. The project will also offer significant socioeconomic opportunities for communities and the population of the area. In line with the World Bank safeguard requirements, this RAP will also be publicly disclosed in community meetings in the settlements, the Ministry s website, and the Bank s info shop. Copies will be made available to the settlement Executive Committees, and KISIP County offices, as well as to the Resident Engineer. 10

11 TABLE OF CONTENTS FACT SHEET...2 LIST OF ACRONYMS...4 LIST OF TABLES...6 EXECUTIVE SUMMARY INTRODUCTION Background Project Description Project Impacts Statement of the Problem and Need for RAP Minimizing Impacts of Resettlement THE RAP PROCESS Introduction Approach and Methodology Valuation of Assets and Livelihoods POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK Applicable GoK Policy and Legal Framework World Bank Safeguard Policies Gaps between OP 4.12 and GoK Policies Institutional Responsibilities for RAP Implementation SOCIO - ECONOMIC BASELINE Hill school and Kimumu Hawai Racecourse RESETTLEMENT IMPACTS AND MITIGATION Type of Losses Number of Project Affected Persons (PAPs) and Assets Affected

12 6.0 COMPENSATION AND RESETTLEMENT ASSISTANCE Eligibility Criteria Notification Payment of Compensation GRIEVANCE MANAGEMENT & REDRESS Grievances and Disputes Management Mechanism MONITORING AND COMPLETION AUDIT Introduction Monitoring of Evaluation framework RAP Monitoring Framework Resettlement Completion Audit IMPLEMENTATION OF THE RAP AND INSTITUTIONAL ORGANIZATION Project Management at Ministry level The Project Coordinator (PC) KISIP Project Coordination Team RAP Implementing Committee County Project KISIP Teams Other Institutional Responsibilities for RAP Implementation Disclosures of RAP RAP Implementation Schedule BUDGET Budget APPENDICES:

13 1.0 INTRODUCTION 1.1 Background The Kenya Informal Settlements Project (KISIP) is a five year-project of the Government of Kenya (GoK), with support from the World Bank, through The International Development Association (IDA), the Swedish International Development Cooperation Agency (SIDA) and the Agence Française de Development (AFD). The overall project development objective is to improve living conditions of people living in informal settlements by improving security of land tenure and investing in infrastructure based on plans developed in consultation with communities. KISIP is housed by Ministry of Infrastructure, Transport, Housing and Urban Development and implemented in close partnership with the 14 participating Counties of Uasin Gishu (Eldoret), Embu, Garissa, Kakamega, Kericho, Kisumu, Kitui, Machakos, Kilifi (Malindi), Mombasa, Nairobi, Nakuru (Naivasha and Nakuru), Nyeri and Kiambu (Thika); selected on the basis of agreed criteria. The KISIP is desirous to ensure that environmental and social issues are adequately identified and addressed in all its components and, in particular, for infrastructure investments. To achieve this, an Environment and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF) were prepared and approved prior to financing. The key objective of the ESMF and RPF is to provide a framework for the systematic and effective identification and management of environmental and social issues for KISIP. The ESMF provides guidance on the integrating of environmental issues into project design and implementation, while the RPF provides guidance on mitigating the likely impacts associated with land acquisition and displacement. The ESMF and RPF form part of the financing agreement between the World Bank and the Government of Kenya. Component three of KISIP supports investment in settlement infrastructure, such as roads, bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid waste 13

14 management, storm water drainage, water and sanitation systems, public parks and green spaces. A joint venture between GA Consultants, Pamoja Trust, and IPE Global Ltd, have been contracted under the Consultancy services for socio-economic surveys, infrastructure upgrading plans, detailed engineering designs, preparation of bidding documents, Environmental Impact Assessment, and preparation of Resettlement Action Plans, in selected informal settlements, in Uasin Gishu County (Eldoret Town). Prior to the undertaking of this RAP, the proposed projects were screened for both environmental and social impacts. The purpose of the screening was to determine the nature and magnitude of the potential impacts on the environment, people and livelihoods; and determine the level of environmental and social assessment required. The screening identified limited displacement of structures built on the way leaves and likely temporal livelihood disturbance as potential impacts. This RAP has been prepared in conformity with the World Bank s Operational Policy on Involuntary Resettlement (OP 4.12), the Resettlement Policy Framework (RPF), the 1999 Environmental Management and Coordination Act, and other Government of Kenya policies and laws dealing with resettlement issues, to ensure that project affected persons are identified and assisted to mitigate against any potential loss. 1.2 Project Description According to the Project Appraisal Document (PAD), the menu of eligible projects that can be financed under KISIP are: roads, bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid waste management, storm water drainage, water and sanitation systems, public parks and green spaces. The communities in the three (3) settlements were involved in the identification and prioritization projects from the menu of the projects provided in the PAD. Moreover, 14

15 communities were consulted and participated during the socio-economic surveys, conceptual designs, and the development of settlement upgrading plans. During these consultations, the likely impacts of the proposed projects were discussed and informed the prioritization process. Such impacts included both positive and negative environmental and social impacts. The following Table (Table 1-1) shows the prioritized and proposed projects and potential resettlement impacts. Table 1-1 Sub Projects and anticipated Resettlement Impacts No Project Description Resettlement Impacts 1 Roads and Drainage 2 Water and Sewerage The project will involve is upgrading existing roads to bitumen standards The roads have been designed to follow designated way leaves on physical development plans (PDPs). Hill School: 1709m of RI and 1054m of R2 roads, the roads are; Teleview to Elgon View, Starehe to Elgon View and Kisumu road through to Elgon View. R2 roads are Biashara, Mathare and Bondeni roads Racecourse: Total of 2705m R1 and 2752m of R2 roads including Chinese to Cardoctor and Jumbo to Naftalis and for R2 roads included Church to Oletebes Kimumu Hawai: 3124mR1 and 3313m of R2 roads, the roads are Ngenyilel, Canaan, Peris and Sinai roads for R1 while R2 roads are Bellways, Living Faith, Mama lala, Cheruyot and Nderitu Designed to follow road reserve land and in some cases existing similar infrastructure. Hence no cases of acquisition of private land Hill School; 1709m of sewer line of 300mm and 5800m of 200mm 15 There will be no cases of acquisition of private land since the roads already exist. Relocation impacts limited to mostly temporal structures encroaching onto road reserve. No populations will be displaced from the settlements Some informal businesses along the road corridors may be temporarily affected. There will be no acquisition of private land and therefore nobody will lose land. Relocation issues limited to encroached structures which will have to be removed.

16 3 Flood lights within the settlement Kimumu Hawai: 1709m of sewer line of 300mm within the settlement Racecourse 8657m of sewer line of 300mm within the settlement All proposed to be constructed on public land within the settlements Hill school: 30m height 3number Kimumu Hawai: 30m height 8number Racecourse: 30m height 4number Some informal businesses may be temporarily affected. No cases of displacement. 1.3 Project Impacts These proposed projects will have the following positive impacts: Improve accessibility within the four (4) settlements by upgrading the poor road and footpath network in the settlements. Improve drainage and solve flooding related impacts within the settlements. Improve sanitation and solve sanitation related health risks. Improve security through security lighting However, the projects may have limited environment and social negative impacts, which should be mitigated, these impacts will include removal of structures and businesses located on the way leaves. 1.4 Statement of the Problem and Need for RAP Resettlement impacts are anticipated to be quite small in scale occasioned by: i. Partial demolition of structures to expand / realign road reserves ii. iii. iv. Reclamation of encroached way-leaves Displacement of open and mobile shops (kiosks) to expand / realign road reserves, provide drainage canals, etc. Removal of structures to create room for trunk infrastructure, such as drainage 16

17 Both the World Bank s Policy on Involuntary Resettlement (OP 4.12) and the Resettlement Policy Framework (RPF) require the development and implementation of a Resettlement Action Plan (RAP) to address any anticipated displacement impacts of a Bank-financed project. Moreover, the Environmental Management and Coordination Act, 1999, provides for a RAP whenever displacement is identified as an impact during Environmental Impact Assessment (EIA). 1.5 Objectives of RAP The objective of this RAP is to clarify the principles and procedures that will govern the mitigation of adverse social impacts induced by the proposed projects. Specifically, the RAP is designed to ensure that: i. All types of losses are identified, clearly defined and properly categorized to reflect the nature and scope of the loss. ii. A standard or measure for defining eligibility and entitlement in order to have a fair basis for assessing compensation for the loss or impact suffered. iii. Compliance with provisions of Kenyan Laws and World Bank Operational Policies (OP 4.12, paragraph 2(b)): that resettlement activity shall be conceived and executed as development programs, providing sufficient investment resources to enable the PAPs to share in project benefits. iv. Affected persons will be compensated for their losses at full replacement cost and provided assistance for disturbance prior to the beginning of civil works. v. A comprehensive database, based on which values will be assessed, validated in the event of disputes and, more importantly, serve as the database for monitoring and evaluation of the resettlement instrument. vi. The PAPs will be consulted and given the opportunity of participating in the design, implementation and monitoring of the resettlement. vii. A Grievance & Redress mechanism will be established, to acknowledge and resolve conflicts arising from Resettlement and Compensation. 17

18 1.6 Scope of the RAP This RAP contains: i. A summary description of the Project, including measures to avoid and/or minimize resettlement ii. A summary description of the baseline socio-economic conditions in the Project area, iii. An assessment of the World Bank Policies and Kenyan legal instruments applicable to displacement and resettlement in the Project, iv. An assessment of likely displacement impacts, v. A description of the proposed strategy to deal with displacement impacts,. vi. Description of Entitlement Eligibility of PAPs and their assets vii. Estimated Budget for compensation of Affected Assets viii. Implementation details, which presents the organizational and other arrangements to implement the mitigations related with physical and economic displacement ix. Grievance management mechanism x. Monitoring and Evaluation of RAP during Implementation 1.7 Minimizing Impacts of Resettlement Efforts have been made to minimize involuntary displacement and relocation of residents. Given the population density in most of the informal settlements, the proposed infrastructure investments may impact on people s assets and sources of livelihoods, therefore the need for preparation of a Resettlement Action Plan to mitigate the impacts and propose suitable implementation arrangements. A Resettlement Policy Framework prepared for the project has been used to guide the preparation of this RAP. The project design team made deliberate measure to avoid and minimize impacts of the project activities to people s assets and sources of livelihoods; this was done at the conceptual stage during the project development. In order to minimize impacts of the project on people s assets and livelihoods, the design team ensured that: 18

19 All the civil works have been designed within the existing road reserve, this was achieved by using the Physical Development Plans (PDPs) developed by the by the county government office of County Physical Planner. All Sites for setting up the proposed flood lights are on government land within the settlements where no one claims ownership, this also was achieved through the use of Physical Development Plans (PDPs) developed by the by the county government. Realignment of the Project Routes in areas where the impact of resettlement is likely to be more. 19

20 2.0 THE RAP PROCESS 2.1 Introduction The preparation of this Resettlement Action Plan was guided by the project s Resettlement Policy Framework (RFP). The RPF sets out the process to be undertaken in the preparation of RAPs, and key components to be included in the RAPs e.g. provision of socio-economic baseline information, policy, legal and institutional framework, grievance redress mechanism, public consultation, census of Project Affected Persons (PAPs) and assets, entitlement matrix, implementation schedule, budget, and monitoring and evaluation. At the conceptual stage during the project development, social and environmental screening was undertaken to determine the nature and magnitude of the potential impacts on the environment, people and livelihoods; and determine the level of environmental and social assessment required. The social screening revealed that the project will be constructed within the government gazetted road reserves which currently has been encroached at isolated sections by traders and temporal structures either as house extension or business sheds. This therefore triggers World Banks safeguards policy OP 4.12 which now requires that RAP to be prepared which will ensure that the PAPs are adequately compensated for the loss they are likely to incur. In order to minimize impacts on the project to peoples assets and livelihood, the design team ensured that all the civil works have been designed within the existing road reserve, this was achieved by using the Physical Development Plans (PDPs) developed by the by the county government The RAP was prepared based on the survey plans undertaken for the project which identified the project routes within the settlement. The main objective of the RAP was to minimize the adverse impacts to project affected persons (PAPs) and enhance or at least restore their livelihood to that of the pre-project level. This was achieved through restricting the infrastructure within the designated road reserves and therefore minimizing the need for acquisition of private land which could lead to displacements. Moreover, an assistance package has been proposed in the 20

21 entitlement matrix for the minimum disruptions particularly from encroached structures and loss of income from small businesses along the road corridors. A socio-economic survey of the settlements was conducted, and 100% census carried out for all the Project Affected Persons. Moreover, the communities were involved in the whole process from project identification, identification of potential impacts on their livelihoods, and proposed mitigation measures. Community meetings were organized, and the Settlement Executive Committees (SECs) involved in enumeration of the PAPs. This RAP report will also be publicly disclosed to the communities before implementation. 2.2 Approach and Methodology The methodology adopted in the preparation of this RAP involved various steps: i. Review of relevant documents ii. Field work iii. Community and stakeholder consultation iv. Socio-economic survey and census of the PAPs and assets v. Valuation of assets and livelihood losses vi. Preparation of PAPs registers Review of Relevant Documents As a first step, a number of key documents relating to KISIP project were consulted to provide guidance. These documents were consulted throughout the process. These documents included: i. Project Appraisal Document (PAD) for KISIP which is the official project document ii. iii. Environmental and Social Management Framework (EMSF) which provides a framework for identification and mitigation of potential environmental and social impacts arising from any KISIP project intervention Resettlement Policy Framework (RPF) which provides a framework consistent with the World Bank s OP 4.12 for mitigating physical and livelihood displacement impacts. 21

22 iv. Conceptual Design Report KISIP Eldoret 2014 prepared after community consultation and project identification that converts community needs into engineering solutions. v. Socio Economic Report for Eldoret 2014 prepared as part of this consultancy covering all the four settlements to provide baseline information for design and monitoring project interventions. vi. Community Consultation Report Eldoret 2014 which documents community involvement in the identification and prioritization of project interventions. vii. Environmental and Social Impact Assessment Report that is being prepared simultaneously with the RAP, as part of the consultancy. viii. Survey Plans, Registry Index Maps (RIMs) and Physical Development Plans (PDPs) that shows the official way leaves and any public utility land. The maps provides for the main settlement access road (R1) minimum width of 12m or 39.6ft and internal settlement roads (R2) require a minimum width of 9m or 29.7ft and sewer way-leave of 6m. Therefore, any structure or livelihood within the above referred dimension was considered to be an encroachment. Project Map is attached as appendix to this report. ix. Engineering Designs and Layout plans prepared for the proposed interventions Census of the Project Affected Persons The RAP Team conducted a household survey which included 100% census of the affected persons from 15 th to 17 st December 2014 in all the three settlements. The purpose of the census was to: enumerate and collect basic information on the affected persons, identify affected assets and livelihoods for each PAP, register the affected population and establish a list of legitimate beneficiaries before the project s onset that counters spurious claims from those moving into the project area solely in anticipation of benefits, establish socioeconomic baseline information for the purpose of establishing fair compensation rates, and provide a baseline for monitoring and evaluation of the resettlement interventions. A standard questionnaire was used to collect basic PAP census information including household members (resident and non-resident) by age, sex, ethnic group, and relationship to head of 22

23 household, education and occupation and housing conditions. The census also documented housing conditions, health conditions economic activities, sources of income and household expenditures. This information was be used (i) to establish a list of PAPs; (ii) to establish a socioeconomic profile of PAPs based on existing conditions; and, (iii) to provide a baseline for resettlement monitoring and evaluation. The standard questionnaire was also used collect inventory of losses information from PAPs about assets that are affected (i) structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; (ii) business losses, by types, amounts and duration of losses. The information was provided by the PAP as required and validated by the team on the ground. The questionnaire was accompanied with photographs of the PAP, key affected assets; and, full GPS data to locate the PAP and all key assets. The questionnaire was signed by the PAP or representative. In conducting the census, the team followed the required procedures for notifying people and collecting, validating, approval and disclosing information on eligible PAPs and affected assets, stemming from national laws and regulations. The team also ensured that the question of the establishment of a cut-off date as per the World Bank policies was discussed and agreed in the initial consultations. The RAP team ensured PAPs or their representatives were present during asset enumeration. The PAPs were required to sign the asset inventory collecting tool to show a confirmation that it s the true copy of the information collected. Photos of PAPs were taken by the RAP team standing in front of their assets, and are presented as an appendix to this report Stakeholder Consultations The community and other stakeholders have been involved in all project processes. Community consultations were held during socio-economic surveys to identify and prioritize project interventions based on the needs identified the resources available and the likely impacts of the 23

24 proposed interventions. Screening of the proposed interventions for environmental and social impacts was done with community involvement. The potential for large-scale relocation of people and livelihoods was one of the considerations in prioritizing the selected project interventions. The RAP team involved the community and the Project Affected Persons in developing this RAP. Before commencement of the census and enumeration of PAPs and affected assets and livelihoods, a number of meetings were held within the settlement with the local Settlement Executive Committees SECs committee members, general public, and Project Affected Persons (PAPs). The objectives of the stakeholder consultations was: a. To sensitize the community about the project and potential impacts on people and livelihoods; b. Provide a platform for the community to air views and concerns which are relevant to the RAP and which must be resolved, c. Involve them in key processes of census and the undertaking of the affected asset inventory, d. Provide an opportunity for the community to themselves propose the most appropriate mitigation measures for asset and livelihood losses, e. To seek support from the community and other all relevant stakeholders in the preparation and implementation of the RAP. Table2.1 gives a schedule of the community meetings held and the issues discussed respectively. 24

25 Table 2-1: Public Meeting held within the Settlements No Issues Response and Discussions 1 Residents acknowledged the need for the RAP team responded that the project will project complaining that they have commence immediately once all the required suffered for long time with bad roads and studies have been concluded and approved, poor sanitation services within the these studies include, ESIA, RAP, Designs and settlements, they wanted to know how Tendering. soon the project will commence. 2 Hill School Stakeholders wanted to know what will happen for the areas where their structures are likely to the affected by the project, they complained that in some cases the road reserves are narrow to as low as 6m while the area needed for the road is at a minimum of 9m. 3 Residents wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate. 4 Members wanted to know if the labour will be sourced from the community during construction of the project 5 Members wanted to know the extent of road and assets to be affected if the proposed roads will follow surveyor s beacons RAP team responded that areas like those ones will be given specific attention and possibility of consulting with them with an aim of properly acquiring the extra needed metres will be considered, such process will be spearheaded by respective county governments. Should any private land be acquired, full compensation will be paid. Yes adequate time will be given to them just before the contractor mobilizes to the ground an also this RAP report has proposed for the them to be allowed ample time to salvage materials from their structures in addition to reconstruction assistance offered. RAP team respondent clarified that all casual labourers will be sourced from the local settlement through the Settlement Executive Committee and also qualified skilled labourer for vacant positions within the contract. However, the RAP team cautioned the community that the contractor will come with his skilled work force and that they should not confuse and claim that the he has hired them from other settlement. RAP team respondent remarked that the extend of structures to be affected will be those falling within the 12m corridor for the main settlement access roads and 9m for those falling within the internal settlement roads, yes the project will be constructed 25

26 6 Members wanted to know the fate of persons doing business along the reserves that are to be upgraded under the project 7 Members wanted to know the value of each property and livelihoods affected within existing road reserve an no private land will be acquired. Encroached structures and extent will be marked for easy of identification. RAP team confirmed that all persons deriving livelihoods along the road reserves and their structures are deemed to be affected by the project will adequately compensated as required OP RAP team respondent informed the gathering that at the stage of census and enumeration it s not possible to tell the value of the assets, the value of the assets will be revealed once the valuation is concluded and the PAPs will be appropriately notified. 8 Members were concerned with the amount of compensation to be given and if it will be of the recommended standards RAP team informed the gathering valuation will be undertaken by a registered government valuer who have their methodology of valuation as guided by the Valuers Act cap 532 and OP The RAP team also held meetings with other relevant institutions critical to the preparation and implementation of this RAP. The purpose of the consultations was obtaining institutional inputs on critical issues relating to resettlement. Table 2.2 illustrates outcome of the meetings. 26

27 Table 2-2: Outcome of Institutional Consultations S/no Institution Meeting Month 1 Kenya Urban Roads Authority (KURA) 2 Eldoret Water and Sanitation Company 3 Lake Victoria North Water Services Board September to December 2014 September to December 2014 September to December 2014 Outcomes of the Meeting Office of the KURA Uasin Gishu region Supports the project The projects have been designed accordance to the requirements of KURA The company Supports KISIP intervention in Water and Sanitation in the county as the town is experiencing sewage problems The company Supports KISIP intervention in Water and Sanitation in the county 4 Uasin Gishu County Government September to December 2014 The sewer line proposals are according to the sewer plan of the town. Office of the Governor Uasin Gishu Supports the project and is willing to assist the RAP team on case by case basis especially on the issues of way leaves. 2.3 Valuation of Assets and Livelihoods Valuation for structures was based on full replacement cost, consideration was made on replacement of the structure regardless of its state. Elements of depreciation were not included in the valuation, other elements that were considered and included in the valuation were market rate for construction material, labor and transportation costs of the material that will be involved in re-establishment of such structures. Valuation of crops and trees was based on government of Kenya Ministry of Agriculture rates and Kenya Forest Service rates respectively. 27

28 Livelihood valuation was based on average daily income from the respective livelihood activity, for rental income, monthly average income from rent was computed for 2months. 28

29 3.0 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK Resettlement of Project-Affected Persons (PAPs) in the project will therefore be carried out in accordance with laws, regulations and guidelines for Resettlement/Land Acquisition Policy Framework of the Government of Kenya and World Bank s Operational Policy (O.P 4.12), which has resulted in the preparation of this RAP. 3.1 Applicable GoK Policy and Legal Framework This RAP has been prepared in accordance with laws, regulations and guidelines for Resettlement/Land Acquisition Policy Framework of the Government of Kenya (GoK). The relevant national and local laws, regulations and guidelines are presented in Table 3.1. Since no land acquisition will be undertaken by the project, laws, policies and regulations relating to land acquisition will not be analyzed in detail. Table 3-1: Relevant Laws Related to Resettlement Name of Act Application Remarks The Land Act No.6 of 2012 The Constitution of Kenya 2010, Section 40 (3)(ii) An act of Parliament to make provision on land regulation and for the compulsory acquisition of land for public purpose. An inquiry held, objections heard, compensation payable. Applies to allocation of and dealings with Public land and private land. All encroachment on the public right of way under the section 143 of the Act will not be compensated or permitted Anyone dissatisfied with the award of compensation for compulsory acquisition of private land by the Commissioner has the right to seek judicial recourse. A further appeal to the High Court can be made. Further, multiple structure owners dissatisfied with the RAP 29 The project will not compulsorily acquire private land. Will apply if the project elects to ask the government to allocate public land for any relocation PAPs within the way leaves will be required to remove their structures. The procedure of compulsorily acquiring private land for the purpose of the project can be considered where any extra space is needed for setting up the infrastructures proposed in this project.

30 The Physical Planning Act, Cap 286 (Act No 6 of 1996) Land Registration Act No. 3 of 2012 The Public Procurement and Disposal Act No 3 of 2005 and the Public Procurement and Disposal (Public Private Partnerships) Regulations, 2009 Kenya Roads Act Cap.2 Environmental Management and Coordination Act, 1999 and subsidiary legislation on EIA/EA (Legal Notice 101). implementation can bring a constitutional reference against deprivation of property without compensation. Requires preparation of development plans for every intended development and invitation to the public to comment /object to the development A maximum of 5 persons can be registered as owners of one piece of land. Applies to all procurements by government and public entities Applies specifically to the function of Kenya Urban Roads Authority in implementation of the KISIP road upgrading project. Provision for resettlement action plans to address displacement/relocation impacts The project design follows what is provided for on the Physical Development Plans (PDPs). To be considered when planning residential sites and other relocation sites but this is not likely under the project. Would be applicable if land identified for relocation of the PAPs is registered under this Act. Would apply to the acquisition of any land that will be required for relocation. It would also apply to contracts for the construction work to be undertaken. KURA shall have the responsibility for supervising construction, rehabilitation and maintenance of all public roads in the municipalities in Kenya under KISIP project. Regulations require RAP whenever relocation is identified as a project impact. 3.2 World Bank Safeguard Policies According to OP 4.12, any World Bank assisted project/program must comply with the provisions of OP 4.12 for impacts associated with land acquisition and displacement. OP 4.12 applies to all components of the project that result in involuntary resettlement, regardless of the source of 30

31 financing. This policy covers direct economic and social impacts that both result from World Bank assisted projects, and are caused by: a) The involuntary taking of land resulting in (i) relocation or loss of shelter; (ii) loss of assets or access to assets and services; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location. b) The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. Towards addressing said impacts, OP 4.12 requires that a Resettlement Action Plan (RAP) or Resettlement Policy Framework (RPF) be prepared, with the following objectives: a) To outline measures to ensure that the displaced persons are: (i) informed about their options and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. b) If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are: (i) provided assistance (such as moving allowances) during relocation; and (ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also include measures to ensure that displaced persons are: (i) offered support after displacement for a transition period based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and (ii) provided with development assistance in addition to compensation measures demanded by the policy; (iii) such as land preparation, credit facilities, training, or job opportunities. 31

32 The KISIP complies with the requirements of OP 4.12 in the following ways: a. Project alternatives to avoid, where feasible, or minimize involuntary resettlement were assessed. b. The potential economic and social impacts of the project have been assessed in the ESIA study and summarized in this report as well. c. Project-affected persons and local nongovernmental organizations, as appropriate, have been consulted. d. PAPs have been informed of their rights, including prompt compensation at full replacement cost for loss of assets attributable to the project, assistance during relocation, and transitional support and development assistance. 3.3 Gaps between OP 4.12 and GoK Policies The RPF was prepared in conformity with the policy and legal provisions of the GoK and the World Bank. However, in preparing the RPF, operational gaps between the policy/legal frameworks of both emerged as follows: a) While the GoK, through diverse legal tools including the new Constitution, allows for acquisition and thus displacement, OP 4.12 favors a policy of avoidance or minimization of involuntary resettlement and design of appropriate mitigation measures in cases where avoidance or minimization is not possible. b) While Cap 288 provides for compensation with respect to acquired land at market rates, OP 4.12 emphasizes the need for compensation at replacement cost coupled with provision of support during the transitional period to improve or at least restore living standards of affected people to pre-displacement levels. c) The Kenyan law has no provision for compensation with respect to economic displacement, unlike OP 4.12, which recognizes both physical and economic displacement. d) The Kenyan system originally recognized only title holders as bonafide property owners but currently, the new Constitution has opened an in-good-faith window through which compensation can be extended to non-title holders, which is more in harmony with the OP

33 premise that lack of legal title should be no bar in extending assistance and support to those displaced by projects. 3.4 Institutional Responsibilities for RAP Implementation During the RAP preparation process, a number of key institutions were identified as critical to both preparation and implementation of the RAP. This is summarized in Table 3.2 below. Consultations with and involvement of the Project-Affected Persons has been sought during the process. Table 3-2: Statutory Institutions with Roles in the RAP process No Institution Role Capacity 1 Ministry of Infrastructure, Transport, Housing and Urban Development Houses the KISIP project Provides policy direction Handles land tenure issues 2 County Government of Uasin Gishu 3 Kenya Urban Roads Authority Has the responsibility of implementing the RAP as spelled out in the RPF In charge of the management of urban roads. It approves road designs and maintains roads. 4 Kenya Power Responsible for relocating electricity transmission lines from the road reserves 5 Eldoret Water and Sewerage Company 6 National Environment Management Authority (NEMA) Responsible relocating affected water infrastructure e.g. pipes, water kiosks to maintain service levels Approving and issuing EIA licenses for projects which have addressed environmental and social impacts 33 The Ministry has experts in key areas: land management and administration, physical planning, resettlement Financial capacity is lacking. In the transition, KISIP providing assistance Capacity exists Capacity exists. Costs provided in the BQ. Capacity exists. Costs provided in the BQ. Capacity exists. Costs of license provided for in the budget. 7 Ministry of Finance Financial management on Capacity exists and funds will

34 behalf of the Borrower ( GoK) Provision of counterpart funding part of which is used to settle compensation claims by PAPs be made available. In addition to the above governmental institutions, several structures were established at the community level in each of the settlements: a) A Community Settlement Executive Committee (SEC) which was instrumental in mobilizing the community and providing a link between KISIP, the Consultants, and the community. The Committee has been involved in all stages of RAP development and is expected to continue playing an active role in monitoring its implementation. b) The Community Grievance Redress Committee formed to address all grievances related to the development and implementation of this RAP. c) The County Resettlement Advisory Committee which will provide leadership at the county level in the implementation of the RAP and addressing grievances from the community grievance committee. The overall coordination of the whole process, from development to implementation and monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit will supervise and coordinate the implementation of this RAP, and report on implementation. It shall ensure active participation of the community at all times. 34

35 4.0 SOCIO - ECONOMIC BASELINE The project interventions are targeting three informal settlements in Uasin Gishu County namely: Hill school, Racecourse, Kimumu Hawai and Kambi Nairobi. The figure below shows the location of the settlements relative to each other and the central business district. Figure 4.2: Map of the four Target Settlements in the Eldoret Town 35

36 4.2 Hill school and Kimumu Hawai Hill School is named so after a large private school, although it was originally known as Warengland. The settlement started as a large acre of land owned by white settlers who later sold their land to someone named Paul Kemboi who later subdivided the land which now belongs to numerous people who were given sale agreements. Since then most residents have managed to get title deeds since 1999, but many still hold allotment letters. Kimumu Hawai was initially owned by a white settler around 1958 who later sold the land to an Indian man, who they called Fed Wadua, who subdivided and sold the same land around the year 1963 to a settlement scheme, which was later subdivided and sold to local squatters who were workers on the land. Hawai specifically started as the settlement scheme which was then subdivided and sold off to the residents. The name was adopted from the United States Hawaii which was brought to the settlement by a rich man who went abroad and returned to establish a large hotel which later became a school. The settlement was affected by post-election violence in 2007 with several properties getting burned down and many residents being ejected from their homes and land Hill School and Kimumu Hawai indicated corresponding socio economic characterises, either due to the same economic characteristic of the people living in both the settlements, therefore the summary of analysis presented in the next sub chapters is only for Hill School settlement Household size, age and gender profile Household size: The households covered in Hill School consisted of 29 (11%) single member households and 234 (89%) multiple member households which had an average household size of 4.4 members. The average household size for the entire sample was found to be 4. The distribution of households by number of family members revealed that about 36.5% of the households had five members or more. About 15.6% of the households had 4 members whereas 47.9% of the households reported to have three members or less. 36

37 Table 4.2-1; Composition of Sample Households Hill School Total Single member Other household household Number of households (%) (100.0) (11.0) (89.0) Number of household members 1, ,029 Average household size (no.) Minimum household size (no.) Maximum household size (no.) Age profile: The children in the age group of 0-4 years constituted 15.8% of the total number of household members School-aged (5-17 years) children and adults (18+years) represented 29.9% and 54.3% of the household members respectively Gender profile: In terms of gender, 50.7% of the household members were male and 49.3% female, reflecting a marginal gap in the distribution of population. However, among the single household heads, the male-female ratio was 50:49 representing an almost equal distribution Education profile: The condition of school attendance among children aged 5-17 in Hill School was very encouraging. It was found that 292 children (92.4%) were attending school. This was a positive trend. It was also found that, enrolment of female children (5-17 years) in school was greater than male children. Among the adults (18+ years), 17.2% were reportedly attending school. Table 4.2-2; Level of Education of the Household Members Hill School Category Number % 1 Male children (5-17 year) attending school Female children (5-17 year) attending school Children (5-17 year) attending school Male adult (18 year and more) attending school Female adult (18 year and more) attending school Adult (18 year and more) attending school Household Income and Expenditure 37

38 Income: Close to one-third (32.3%) of the households stated a monthly earning level of less than Ksh 9,000. The income data further revealed that the majority (41.8%) of households had a monthly income ranging between Ksh 9,000 and Ksh 18,000. Around 25.9% of the households reported a monthly income of over Ksh 18,000. Table Monthly Household Income Hill School Amount in Ksh Number* % less than 9, , Above 18, Total Note: *Missing values are excluded from the analysis. The Analysis above indicate that majority of people at 40.1 % in the settlement earn an average earning of between Kshs per month, therefore majority of the PAPs are at a high risk of impoverishment if the RAP process is not properly handled. The earning is not sufficient considering the expenditure analysis below. Expenditure: Analysis of household expenditure data reveals that the average Monthly Per Capita Expenditure (MPCE) was little over Ksh 4,962 per household. Of this amount, 35.3% was spent on food items (Ksh 1,546), 23.1% accounted for non-food household supplies like soap, toothpaste, mobile phone, school fees (Ksh 1,036) Employment status About 31.3% of the adults (18+ years) household members were self- employed, 19.3% were working as casual workers and another 11.3% were regular employees. The unemployed work force represented 20.7% of the household members in Hill School. 38

39 Table Main Activity of Adults (18 years and above) Hill School Activity of adults Number % Regular Employee Casual worker Self employed Unemployed Student Others (apprenticeship, retired etc.) Total* Note: Missing values are excluded from the analysis. 4.3 Racecourse The settlement began as a colonial settlement which was used majorly by white settlers for horse racing and horse training. This was in the early 1960 s to 1970 s. Plots began to be sold in the 80 s. The current Race Course show ground is still used presently. A major occurrence the settlement has suffered is post-election violence where people from surrounding communities and even the surrounding Rift Valley moved in large numbers into Race Course settlement as well as setting up camp in the show ground. This weighed heavily on the resources of the settlement as well as drove up prices of land, rent among others. Additionally, the settlement has frequent flooding which is a major occurrence every four year. During these times people are forced to move out Household size, age and gender profile Household size: The households covered in the survey in Race Course consisted of 23 (6.3%) single member households and 345 (93.7%) other households which had an average household size of 5.6 members. The average household size for the entire sample was found to be 5.3. The distribution of households by number of family members revealed that about 60.6% of the households had five members or more. About 17.1% of the households had 4 members whereas 22.3% of the households reported to have three members or less. 39

40 Table 4.3-1; Composition of Sample Households Racecourse Total Single member Other household household Number of households (%) (100.) (6.3) (93.7) Number of household member 1, ,917 Average household size (no.) Minimum household size (no.) Maximum household size (no.) Age profile: The children in the age group of 0-4 years constituted 10.1% of the total number of household members. School-aged (5-17 years) children and adults (18+years) represented 32.6% and 57.4% of the household members respectively. Gender profile: In terms of gender, 48.8% of the household members were males and 51.2% were females, reflecting distribution almost at par distribution. However, among the single household heads, male-female ratio was 35:47 representing strong female dominance. Education profile: The condition of school attendance among children aged (5-17 years) in Race Course was very encouraging. It was found that 93.5% of children were attending school without any gender disparity. This was a positive trend. Among the adults (18+ years), 22.4% were reportedly attending school. Table 4.3-4; Level of Education of the Household Members Racecourse Category Number % Male children (5-17 year) attending school Female children (5-17 year) attending school Children (5-17 year) attending school Male adult (18 year and more) attending school Female adult (18 year and more) attending school Adult (18 year and more) attending school

41 4.3.2 Household Income and Expenditure Income: More than half (51.8%) of the households stated monthly earning over Ksh 18,000. The income data further revealed that the close to one-fourth (24.4%) of households had a monthly income ranging between Ksh 9,000 and Ksh 18,000. Around 23.8% of households reported a monthly income level less than Ksh 9,000. Table 4.3-6; Monthly Household Income Racecourse Amount in Ksh Number* % less than 9, , Above 18, Total Note: *Missing values are excluded from the analysis. Expenditure: Analysis of household expenditure data reveals that the average Monthly Per Capita Expenditure (MPCE) was little over Ksh 4,750 per household. Of this amount, 27.7% represented spending on food items (Ksh 1,091), 19.4% accounted for non-food household supplies like soap, toothpaste, mobile phone, school fees (Ksh 793). Table 4.3-7; Monthly Per Capita Expenditure of households Racecourse Table 7.7: Monthly Per Capita Expenditure of Households Race Course Heads Average Median Coeff. of Variation* Food 1,091 (27.7%) % Non-food household supplies 793 (19.4%) % Total 4,750 3,724 83% Note: (i) * Coefficient of variation (CV) = Standard deviation/mean; (ii) Total includes food, nonfood household supplies and other items like education fees, transport, rent etc.; (iii) Above table is derived using data for: food (366 HHs), non-food (366 HHs) and total (364 HHs) 41

42 The analysis indicate that majority of the population use an estimate of 27.7% of their earnings on food item, therefore KISIP interventions will improve the infrastructure of the settlement in terms of accessibility, security and sanitation therefore translating to economic empowerment of the population Employment status Employment: About 26.8% of the adult (18+years) household members were working as regular employees, 19.5% were self-employed and another 11.7% were casual workers. The unemployed work force represented 17.3% of the household members in Race Course. Table 4.3-9; Main Activity of Adults (18 years and above) Racecourse Activity of adults Number % Regular Employee Casual worker Self employed Unemployed Student Others (apprenticeship, retired etc.) Total

43 5.0 RESETTLEMENT IMPACTS AND MITIGATION Project activities will give rise to either total or partial resettlement impact to PAPs assets and sources of livelihood, majority of assets affected are temporal fixed business stands, house extensions, verandas, gates perimeter walls either in masonry stone or wood as well as structures for business either temporal or mobile kiosks. None of the residential structures enumerated will be totally affected, the impact to the structures is partial to the areas encroaching to the road reserve. The entitlement matrix has proposed various entitlements depending of the type of loss and the category of PAPs, the structures mentioned in the review comment above have been enlisted. 5.1 Type of Losses Loss of Land The project interventions in all the three settlements will not involve loss of private land through any form of acquisition. All the interventions have been designed to use the designated way leaves. As such no person will lose land to which they have a title. All the PAPs are encroachers and landless. They have just extended their buildings and businesses beyond their boundaries. It is important to note that even after the project reclaims the way leaves, no one is going to be left landless. They will push back the structures into their plots. The kind of impact that is anticipated will be as a result of reclaiming the encroached road reserves. Consequently, there will be no compensation for land, only developed assets on the road reserve. It is also not expected that the structure owners who will lose their structures will move elsewhere outside the settlement Loss of Structures This is the most important type of loss identified. The structures have encroached on the road reserves and will need to be removed before the commencement of works. Most of the structures are of temporal nature with a few permanent ones. The structures are used for 43

44 dwelling either by owners or are rented out; while others are used for commercial purposes. The impact on the structures will be two-fold: a. Total loss: where the whole structure will need to be removed or where the residual will not be viable and functional. b. Partial loss: where part of the structure will be affected, and the residual will still be viable and functional with reconstruction/repairs. The Table below shows the type and number of structures affected in three settlements. The extent to which individual structures will be affected is described in The PAP and Asset Register. Table 5-1 Type and Numbers of Structures No Affected structure Settlements Total Hill School Kimumu Racecourse Hawai 1 Part of Residential Structures 2 Part of Rental Structures Building Verandas and Canopies 4 Shops / kiosks (stone, iron sheets) 5 Temporally fixed business stands 6 Mobile Business stand Individual Latrines and shower rooms 8 Fences well Sand Gravel pile Watchman Gate Shed Gate store Kitchen

45 Materials of structures: The materials used in to build the structures in the settlements were mostly categorized as others in the questionnaire and this represented the use of iron sheets and wooden poles (45.7%) and iron sheets (28.6%). Figure 5-1: Materials of structures Ownership of structures: majority owner of the structures is the household head who own 85.7% of the total while the remaining percentage is owned by tenants (14.29%). Figure 5-2 Ownership of the structures 45

46 5.1.3 Loss of Shelter From the census, loss of shelter will be experienced in two ways: a. Some structure owners who themselves reside in the affected structures (owner occupiers) (partially or wholly) will be affected during demolition and reconstruction. If the structure will be wholly affected and need to be constructed within the lot boundaries, alternative accommodation will have to be temporarily provided or adequate notice and facilitation given to complete the reconstruction before demolition. In case of partial loss, the structure owner may not necessarily move, but steps will be taken to ensure the minimal disruption to their occupancy is mitigated. b. Tenants occupying the affected structures and who may be required to either temporarily or permanently seek alternative accommodation. Measures will be put in place to mitigate the likely disruption, including payments to facilitate the relocation. 46

47 Table 5-2; PAPs occupying non-business structures No PAP Category Settlement Hill School Racecourse Kimumu Hawai 1 Structure owner occupying the structure for residential purposes 2 Tenants Total Loss of Livelihoods The following categories of livelihood loss were identified: a. Structure owners/landlords who will lose rental income as a result of tenants relocating from the affected structures b. Loss of income from businesses that will be affected as a result of removal of either permanent or temporal business premises. Most of these businesses are located on the road reserves. Type of common business the figure 5-3 below illustrates the common business which the PAPs engage in within the settlements the area has mixed businesses but the major ones are grocery shops (23.53%), food kiosk/hotels (26.47%) and category other which includes movie sheds, charcoal vending and few rentals (23.53%) 47

48 Figure 5-3 Type of common business in the Settlements Average daily income: Majority of the respondents whose structures are likely to be affected recorded making daily incomes from a minimum of Kshs 250 to Kshs 3000 and the average monthly income from rentals ranges from Kshs 300 to Kshs 6000 as seen in the table above. Table 5-3 Project Affected Persons losing Income No Type of loss Settlement Hill School Racecourse Kimumu Hawai 1 Loss of rental income from the business structures 2 Loss of income from business Total Number of Project Affected Persons (PAPs) and Assets Affected The number of Project Affected Person (PAPs) has been summarized in the table below, the Project Affected Household (PAH) is a family unit which is represented by the Household head enumerated therefore the number of PAP remain the same for PAH the number of PAPs 48

49 Table 5-4 Project Affected Persons per Settlement Settlement PAPs Hill School 102 Racecourse 13 Kimumu Hawai 72 Total

50 6.0 COMPENSATION AND RESETTLEMENT ASSISTANCE 6.1 Eligibility Criteria The World Bank Resettlement Policy/Guidelines require compensation for lost assets at replacement cost to both titled and non-titled landholders and resettlement assistance for lost income and livelihoods. In this project, the absence of formal titles will not constitute a barrier to resettlement assistance and rehabilitation. Further, the principles adopted herein contain special measures and assistance for vulnerable affected persons, such as female-headed households, disabled persons, and the poor. PAPs are entitled to a combination of compensation measures and resettlement assistance, depending on the nature and scope of impact. From the census carried out, the following categories of PAPs will be entitled to compensation: i. Structure owners who will lose part or whole of their structures. It should be noted that all the structures have encroached on the road reserves. ii. Tenants who have rented the affected structures and may be required to seek alternative accommodation temporarily or permanently. iii. Structure owners who derive an income from renting their structures and will lose the income as a result of removal of the structures. iv. People who conduct businesses in the affected structures and will lose income as a result. However, mobile traders will not be eligible for assistance. v. People conducting business on the road reserves permanently even if they don t own a structure but will be required to move to give way for the project Cut-off Date The entitlement cut-off date was 31 st July 2014; this date was the date when the project information was communicated to the people in the settlements and SECs formed. No 50

51 structure established in the Project-Affected Area after (31 st July 2014) shall be eligible for compensation Entitlements The Entitlement Matrix describes compensation and related assistance for each category of affected PAP. Eligibility reference has been made to Resettlement Policy Framework (RPF) developed for the KISIP Project which proposes full replacement cost to assets and livelihoods anticipated to be lost. The matrix in table 6-1 below elaborates the entitlement which is relevant to the PAPs of proposed KISIP projects Livelihood Restoration Livelihood restoration an important aspect in ensuring that the PAPs livelihood is totally restored even after compensation is done. All categories of PAPs described in table 6-1 below are eligible to the livelihood restoration packages Livelihood restoration packages that are application for such kind of resettlement are as illustrated below: i. Employment priority during construction both skilled and non skilled ii. Transitional assistance this could include adequate time allowed for the PAPS to relocate and salvage construction materials iii. Additional assistance to vulnerable groups Trainings on:- -compensation funds management - Other related business support Vulnerable People Vulnerable people are people who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits. Vulnerable 51

52 people are potentially eligible for specific assistance under this Resettlement Action Plan are those who are affected by the Project land acquisition, compensation and resettlement activities. Vulnerable people include, but are not limited to: i. Disabled persons, whether mentally or physically; ii. Seriously ill people, particularly people living with HIV/AIDS and other illnesses; iii. The elderly, particularly when they live alone; iv. Households whose heads are children; v. Households whose heads are female and who live with limited resources; vi. Households whose heads have no or very limited resources; and vii. Widows and orphans. The study identified only (1) case of vulnerable person in Race Course who was of old age and mentally challenged. The following measures have been included in the RAP for extra assistance to the vulnerable identified PAP identified vulnerable persons. Assistance in the compensation payment procedure; Assistance in the post payment period to secure the compensation money; Assistance in moving: providing vehicle, driver and facilitation at the moving stage; Health care if required at critical periods; and Moving and transition support or allowance during the relocation period Notification The PAPs will be served with adequate notice of 30 days to relocate upon compensation and before the commencement of works. All the stakeholders in the project (e.g. KURA, NEMA, and KPLC) will also be notified of the relocation exercise. 52

53 Payment of Compensation In line with the World Bank operational policy on involuntary resettlement (OP 4.12), KISIP will ensure that the conditions of PAPs are restored to the status that is at the minimum commensurate to their pre-project status. A list of all PAPs has been documented in the PAP register. In addition, every person affected by the project registered with their national identification card for easy identification for possible compensation. RAP implementation will verify the correctness of each PAP as stated in the register and ascertain that every identity card holder is correctly documented in the register. On completion of the PAP Audit list, the Project Coordinator will set up a team that will carry out payment and compensation. This team will consist of KISIP s accountant, legal and a social safeguards expert, including representatives of the County Government and SEC. Payments will be made according to locations and adequate information will be made available to all affected persons prior to payment. Such information will include: 1. Dates and locations of payment 2. List of eligible people and amount 3. Mode of payment, etc. An appropriate framework for delivering the compensation payments to the PAPs will be decided by KISIP in line with government financial management regulations and as much as possible keeping in mind that most PAPs have no bank accounts. In the event that an individual is absent during payment, the Compensation Committee will immediately communicate a new date of payment to such individual(s). 53

54 Table 6-1: Entitlement Matrix Type of loss Type of PAP Entitlement 1 Loss of Land Land owner Not applicable under the project because no private land is to be acquired for implementation of the projects. All the PAPs are encroachers. 2 Loss structure Structure Owner Cash compensation at replacement cost calculated without depreciation. Replacement cost includes cost of materials, transport, and labor to construct a similar structure Owners will retain the right to salvage materials from the structure A lump sum of kshs. 5, as disturbance allowance Loss of income equivalent to 2 month s rent incase the affected structure is rented. 3 Loss shelter Tenant A one month notice to look for alternative accommodation. 2month s rent to look for alternative accommodation during repairs of the affected parts of the structure with an option to resume tenancy at the completion of reconstruction/repairs. A onetime shifting allowance of ksh 5000 to cover for transport costs and labour costs during moving If the rented premises are used for business, a loss of livelihood equivalent to five days of loss of profit will be provided. 4 Loss of Livelihood / Income Structure owner who occupies the structure (owner occupier) 2month s rent to look for alternative accommodation during repairs or reconstruction of the affected structure. Prior compensation to allow construction of structure prior to demolitions. Structure owner Subsistence allowance equivalent 2month rent to compensate for loss of income. Business owner Cash grant equivalent 5days daily income to compensate for the loss of 54

55 / trader business A lump sum allowance of Kshs. 5, to cover for transport and labor during movement. Vulnerable groups Assistance in the compensation payment procedure; Assistance in the post payment period to secure the compensation money; Assistance in moving: providing vehicle, driver and facilitation at the moving stage, providing ambulance services for disabled or inform persons during moving, and; Health care if required at critical periods; Moving and transition support or allowance during the relocation period. 55

56 7.0 GRIEVANCE MANAGEMENT & REDRESS 7.1 Grievances and Disputes In practice, grievances and disputes that are most likely during the implementation of a resettlement program are the following: i. Misidentification of assets or mistakes in valuing them; ii. Disputes over parcel limits, either between the affected person and the Project, or between two neighbors; iii. Dispute over the ownership of a given asset (two individuals claim to be the owner of this asset); iv. Disagreement over the valuation of a parcel or other asset; v. Successions, divorces, and other family issues, resulting in disputes between heirs and other family members, over ownership or ownership shares for a given asset; vi. Disagreement over resettlement measures, on the type or standing of the proposed housing, or over the characteristics of the resettlement parcel; 7.2 Management Mechanism This RAP recommends a three-tier grievance mechanism- at the community, RICs, and resolution through courts of law. It is desirable to resolve all the grievances at the community level to the greatest extent possible. To achieve the community or settlement level grievance mechanism must be credible and generally acceptable. The grievance redress mechanisms will aim to solve disputes at the earliest possible time in the interest of all parties concerned. The first level in addressing grievances will be at the settlement. The settlement will form a Community Grievance Redress Committee (CGRC) comprising of two members from SEC, and three other respected community members who are not PAPs. The committee should be elected by the community in a transparent manner. 56

57 The second level of grievance mechanism will involve the RICs. The RICs will consider grievance reports forwarded to it from the community grievance committee and make a determination. If complainants are not satisfied by the decision of the RICs, they can seek redress from the High court. Grievance procedures may be invoked at any time, depending on the complaint. No person or community from whom land or other productive assets are to be taken will be required to surrender those assets until any complaints he/she has about the method or value of the assets or proposed measures are satisfactorily resolved. The RAP study recommended the composition of the grievance committee to be composed of 5 persons, 2 from the SEC not being office holders and 3 elected by the community while respecting women, youth and vulnerability representation the committee will elect their chairman and secretary and SEC members are not eligible Terms of Reference for the Grievance Redress Mechanism Committee The roles and functions of the Grievance Redress Mechanism Committee is normally based on the mandate and expectations of stakeholders from the committee, more specific the committee will endeavor to resolve issues resulting from: i. Misidentification of assets or mistakes in valuing them; ii. Disputes over parcel limits, either between the affected person and the Project, or between two neighbors; iii. Dispute over the ownership of a given asset (two individuals claim to be the owner of this asset); iv. Disagreement over the valuation of a parcel or other asset; v. Successions, divorces, and other family issues, resulting in disputes between heirs and other family members, over ownership or ownership shares for a given asset; 57

58 vi. vii. Disagreement over resettlement measures, for instance on the location of the resettlement site, on the type or standing of the proposed housing, or over the characteristics of the resettlement parcel; The committee will handle other issues as they emerge. Figure 7-1 overleaf summarizes the most preferred way of handling grievances. This RAP proposes a maximum of 8days as the time a grievance should take under the resolution mechanism, however for issues that can be handled by the CGRC; the study recommends 3days maximum time for resolution Effectiveness of the Grievance Redress Mechanism To ensure effectiveness of the Grievance redress mechanism the committee will report on a monthly basis to the Project implementation team the cases received and how they were resolved during RAP implementation and Project implementation. The committee is supposed to endeavor resolve grievances as soon as they are reported, the maximum duration for resolving this grievances at level one has been given as within 7days. To ensure Effectiveness of the Grievance Redress Mechanism the KISIP county office will Provide for reporting mechanism for the committee, Technical support to the committee, Material assistance and logistics as well as provide for 1day s training on their roles. 58

59 Figure 7-1: Grievance Redress Mechanism Registration of the grievance or dispute upon being lodged to the CGRC Resolution of the grievance by CGRC (7days) YES Grievance resolved and Outcome satisfactory NO Refer the grievance, findings and recommendations to RIC Final closure Grievance processing by RIC (7days) YES Grievance resolved satisfactorily Aggrieved Party have the right to seek redress from the Court of law NO 59

60 8.0 MONITORING AND COMPLETION AUDIT 8.1 Introduction Monitoring and Evaluation (M&E) procedures establish the effectiveness of all resettlement activities, in addition to the measures designed to mitigate adverse social impacts. The procedures include internal track-keeping efforts as well as independent external monitoring. The purpose of resettlement monitoring for the KISIP project is to verify that actions and commitments described in the RAP are implemented and eligible project-affected persons receive their full compensation prior to the start of the rehabilitation activities on the project area; RAP actions and compensation measures have helped the people who sought cash compensation in restoring their lost incomes and in sustaining/improving pre-project living standards; Complaints and grievances lodged by project-affected persons are followed up and, where necessary, appropriate corrective actions taken. Changes in RAP procedure are made, if necessary, to improve delivery of entitlements to project-affected persons. The World Bank operational policy (OP 4.12) states that the project sponsor (i.e., KISIP) is responsible for adequate M&E of the activities set forth in the resettlement instrument. Monitoring will provide both a warning system for the project sponsor (KISIP) and a channel for the affected persons to make known their needs and their reactions to resettlement execution. KISIP monitoring and evaluation activities and programs will be adequately funded and staffed. In-house monitoring may need to be supplemented by independent monitors to ensure complete and objective information. Accordingly, the primary responsibility for 60

61 monitoring rests with KISIP s Head of Environment and Social Safeguards working in collaboration with the M&E unit. 8.2 Monitoring of Evaluation framework The RAP Monitoring Plan and Framework is adopted from IFC (Handbook for Preparing a Resettlement Action Plan). It involves: a. Internal monitoring by KISIP; b. Impact monitoring commissioned to specialized firms; and c. A RAP Completion Audit Table 8-1: RAP Monitoring Plan Component Activity Performance monitoring Impact monitoring Completion audit Type of Information/ Data Collected Measurement of input indicators against proposed time-table and budget including procurement and physical delivery of goods, structures and services. Tracking effectiveness of inputs against baseline indicators Assessment of PAP satisfaction with inputs Measurement of output indicators Source of Information/ Data collection Methods Monthly or quarterly narrative status and financial reports Quarterly or semiannual quantitative and qualitative surveys Regular public meetings and other consultation with people affected by the project; review of grievance mechanism outputs External assessment/sign- Responsibility for Data Collection, Analysis and Reporting KISIP PCT KISIP County Team, SEC Project resettlement unit or contracted external monitoring agency Contracted external auditing Frequency/ Audience Reporting of Semi-annual/annual as required by KISIP and World Bank Annual or more frequently as required by KISIP and WB On completion of the RAP time table 61

62 such as productivity gains, livelihood restoration, and developmental impact against baseline off report based on performance and impact monitoring reports, independent surveys and consultation with affected persons and agency evaluation as agreed between KISIP and WB 8.3 RAP Monitoring Framework The RAP allows for verification of internal RAP implementation reports by a field check of the following: Payment of compensation including its levels and timing Settlement of emerging grievances Adequacy of training and other developmental inputs Rehabilitation of vulnerable groups Infrastructure repair, relocation or replacement Enterprise relocation, compensation and its adequacy Transition allowances These will be achieved through; a. Interview a random sample of affected people in open-ended discussion to assess their knowledge and concerns regarding the resettlement process, their entitlements and rehabilitation measures. b. Observe public consultations with affected people at the village level c. Observe the function of the resettlement operation at all levels to assess its effectiveness and compliance with the RAP. d. Check the type of grievance issues and the functioning of grievance redress mechanisms by reviewing the processing of appeals at all levels and interviewing aggrieved affected people. 62

63 e. Survey the standards of living of the affected people (and of an unaffected control group where feasible) before and after implementation of resettlement to assess whether the standards of living of the affected people have improved or been maintained. f. Advise project management regarding necessary improvements in the implementation of the RAP, if any. 8.4 Resettlement Completion Audit The purpose of the Completion Audit is to verify that the resettlement process has complied with resettlement commitments defined by the RAP. Reference documents for the Completion Audit are the following: Resettlement Action Plan prepared. Kenyan policies and legal statutes as defined in section 2 of this report The Completion Audit has the following specific objectives: General assessment of the implementation of the RAP against the objectives and methods set forth in the RAP, Assessment of compliance of implementation with laws, regulations and safeguard policies; Assessment of the fairness, adequacy and promptness of the compensation and resettlement procedures as implemented; Evaluation of the impact of the compensation and resettlement program on livelihood restoration, measured through incomes and standards of living, with an emphasis on the no worse-off if not better-off requirement; and Identification of potential corrective actions necessary to mitigate the negative impacts of the program, if any, and to enhance its positive impacts. 63

64 The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People 64

65 9.0 IMPLEMENTATION OF THE RAP AND INSTITUTIONAL ORGANIZATION 9.1 Project Management at Ministry level MITH&UD will interface with other sector ministries, agencies and Counties on matters and policies relating to the project and more specifically RAP issues. The MITH&UD will interface with the National Treasury on issues pertaining to RAP budget financing, The ministry will also communicate directly with the Bank on technical issues RAP preparation, approvals, disclosure and even implementation being among them 9.2 The Project Coordinator (PC) PC is the overall technical coordinator in the implementation of KISIP and assisted by a Social Development Officer in case of land acquisition and resettlement and other social issues related to this program. The Project coordinator will supervise the project team and ensure that project implementation activities and reports are on schedule and in compliance with the financing agreement. The coordinator will report to the PS and will from time to time draw the attention of the PS to all emerging policies issues for decision at that level or a higher level. 9.3 KISIP Project Coordination Team The overall coordination of the whole process, from development to implementation and monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit has the following roles: Coordinate the effective implementation of the ESMF/RPF and ensure compliance with agreed implementation procedures and guidelines. Prepare Progress Reports on the implementation of the environmental and social safeguards. Procure and supervise consultants for Social and Environment Assessments. Build the capacity at all levels to implement the ESMF/RPF. Supervise ESMF/RPF implementation during and after project implementation. 65

66 Ensure integration of EMPs and RAPs into Contract and Bid Documents. Ensure adequate community participation. The project team will be responsible for routine implementation and technical austerity of the KISIP project. The team has put together a Safeguards team which has an environmental and social safeguard specialist responsible of ensuring that the environmental and social safeguards are implemented to and compliant to under the project. The officer will be responsible under this RAP to do quality checks and review the RAP reports before forwarding to the World Bank safeguards specialist. The officer is in charge of actual implementation of the RAP with the help of Resettlement Implementation Committee constituted for the project 9.4 RAP Implementing Committee The RAP Implementing Committee shall be appointed by the Project Coordinator and will have overall responsibility of monitoring and evaluation of the resettlement process. The committee shall involve a specialist representation of expertise which includes Social Expert, Environmentalist, Accountant, Legal and Monitoring and Evaluation Expert from KISIP unit at the MoLHUD. The committee shall also include a representative of KISIP Local County office and the Project Affected Persons for each settlement Notifications The RAP implementation committee will ensure the PAPs are served with adequate notice of not less than 30 days to relocate upon compensation and before the commencement of works. All the stakeholders in the project (e.g. KURA, NEMA, and KPLC) shall also be notified of the relocation exercise. 66

67 9.4.2 Payment of Compensation The RAP implementation committee shall ensure the list of all PAPs has been verified and documented in the PAP register. The register shall have, among other parameters, (1) the name of the person, (2) type of loss (structure / Livelihood) (3) identification number of the PAP, (3) Compensation Amount (3) Bank Details of the PAP. The RAP implementation committee will verify the correctness of each PAP as stated in the register and ascertain that every identity card holder is correctly documented in the register. On completion of the PAP Audit list, the committee shall recommend payment and compensation. Payments will be made according to locations and adequate information will be made available to all affected persons prior to payment. Such information will include: Dates and locations of payment, List of eligible people and amount Mode of payment, etc. An appropriate framework for delivering the compensation payments to the PAPs will be decided by KISIP in line with government financial management regulations and as much as possible keeping in mind that most PAPs have no bank accounts. In the event that an individual is absent during payment, the Compensation Committee will immediately communicate a new date of payment to such individual(s) Resolution of second tier of grievances forwarded by the Community Grievance Redress Committee (CGRC). 9.5 County Project KISIP Teams For effective implementation of the Project, Counties have established County KISIP Teams whose composition is a replica of the national team. The county team were crucial in development of this study and they will also be important during implementation the RAP prior to commencement of civil works. 67

68 9.6 Other Institutional Responsibilities for RAP Implementation During the RAP preparation process, a number of key institutions were identified as critical to both preparation and implementation of the RAP. This is summarized in Table 9.1 below. Consultations with and involvement of the Project-Affected Persons has been sought during the process. Table 9-1: Statutory Institutions with Roles in the RAP process No Institution Role Capacity 1 Ministry of Transport, Houses the KISIP project The Ministry has Infrastructure, Provides policy direction experts in key areas: Housing and Urban Handles land tenure issues land management and Development administration, physical 2 County Government of Uasin Gishu 3 Kenya Urban Roads Authority Has the responsibility of implementing the RAP as spelled out in the RPF? In charge of the management of urban roads. It approves road designs and maintains roads. 4 KPLC Responsible for relocating electricity transmission lines from the road reserves 5 Eldoret Water and Sewerage Company 6 National Environment Management Authority (NEMA) Responsible relocating affected water infrastructure e.g. pipes, water kiosks to maintain service levels Approving and issuing EIA licenses for projects which have addressed environmental and social impacts 7 Ministry of Finance Financial management on behalf of the Borrower (GoK) Provision of counterpart funding part of which is used to settle compensation claims 68 planning, resettlement Financial capacity is lacking. In the transition, KISIP providing assistance Capacity exists Capacity exists. Costs provided in the BQ. Capacity exists. Costs provided in the BQ. Capacity exists. Costs of license provided for in the budget. Capacity exists and funds will be made available.

69 by PAPs In addition to the above government institutions, the community through the settlement executive committee (SEC) are central to preparation and implementation of this RAP The SECs were formed during the project inception to mobilize the community and provide a link between the community, the consultant, the County Government, and KISIP. The Committee has been involved in all stages of RAP development and is expected to continue playing an active role in monitoring its implementation. 9.7 Disclosures of RAP The RAP report once approved by the World Bank Safeguards team will be disclosed on the World Bank s website, locally the report will be disclosed at the county KISIP coordination offices in the County, Copies of the report will be made available to the SEC committees of respective settlements KISIP PCT is obligated to disclose documentation locally, and will make the following available: RAP in English (one copy available at all times in Project information offices, one copy given to the resettlement committees), Update notes when needed, given to each of the resettlement committees and publicly available at Project information offices. In addition, this RAP will be publicly disclosed in English on the MoLHUD website also the RAP executive summary will be disclosed and shared with the Settlement Executive Committees (SECs) for ease of access by the affected persons. Public disclosure meetings will be held in all the four settlements before RAP implementation. 69

70 9.8 RAP Implementation Schedule The implementation schedule for this RAP covers the period from the preparation of the RAP to the conclusion of the envisaged projects in the three settlements in the County to the completion and the time that the infrastructure is fully available for use. It should be noted that the procedure in the schedule starting from notification of the PAPs before their displacement through compensation and resettlement will be done in phases to synchronize with the various phases of the project. The RAP Implementation Schedule defines the duration and timing of the key milestones and tasks. The major component tasks for the schedule include: a. Disclosure of RAP b. Audit of PAP register and compensation package due to each PAP c. Payment of compensation/resettlement assistance d. Resolution of emerging grievances e. Notification of PAPs prior to the commencement of the activities that will affect them f. Commencement of project operations g. Monitoring and evaluation, including baseline update 70

71 Table 9-2: RAP Implementation Schedule S/No Activity 1 Disclosure of the RAP Report 2 Audit of the RAP report to verify PAP and compensation details 3 Payment of compensation to PAPs and facilitation of relocation 4 Issuance of notices for relocation 5 Actual relocation 6 Resolution of conflicts and Grievances 7 Commencement of works 8 Monitoring of the resettlement activities Weeks from Approval of RAP Report

72 10 BUDGET 10.1 Budget The RAP budget is estimated as indicated in table 10-1 below Table 10-1 RAP Estimate Budget S/no Item under Compensation Amount Estimates (Ksh) 1 Loss of Assets and Livelihoods Hill School 2,569, Racecourse 211, Kimumu Hawai 984, Grievance Redress Committees operations 500, Implementation - Community engagement, 400, disclosure, verification 4 Monitoring and evaluation 350, Contingency Item- provision for claims from 700, grievance redress mechanism Total Compensation 5,915,

73 APPENDICES: 1. Appendix1: Glossary of Terms 2. Appendix 2: Stakeholder consultations 73

74 APPENDIX 1: GLOSSARY OF TERMS LOSSARY OF TERMS Project-Affected Person (PAP): Any person who, as a result of the implementation of the Project, loses the right to own, use, or otherwise benefit from a built structure, land (residential, agricultural, or pasture), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Physical Displacement: Loss of shelter and assets resulting from the acquisition of land associated with the Project that requires the affected person(s) to move to another location. Economic Displacement: Loss of income streams or means of livelihood resulting from land acquisition or obstructed access to resources (land, water or forest) caused by the construction or operation of the Project or its associated facilities. Not all economically displaced people need to relocate due to the Project. Project-Affected Household (PAH): A PAH is a household that includes Project-Affected Persons as defined above. A PAH will usually include a head of household, his/her spouse and their children, but may also include other dependents living in the same dwelling or set of dwellings, like close relatives (e.g., parents, grandchildren). Compensation: Payment in cash or in-kind at replacement value for an asset or a resource that is acquired or affected by the Project at the time the assets need to be replaced. In this RAP, cash compensation means compensation paid in cash or by cheque. Resettlement Assistance: Support provided to people who are physically displaced by the Project. Assistance may include transportation, and social or other services that are provided to affected people during their relocation. Assistance may also include cash allowances that compensate affected people for the inconvenience associated with resettlement and defray the expenses of a transition to a new locale, such as moving expenses and lost work days. 74

75 Replacement Value: The rate of compensation for lost assets must be calculated at full replacement value, that is, the market value of the assets plus transaction costs. The replacement value must reflect the cost at the time the item must be replaced. Vulnerable Groups: People who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits. Replacement cost for houses and other structure means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures. Such costs will include: (a) transporting building materials to the construction site; (b) any labour and contractors fees; and (c) any registration costs. Resettlement Policy Framework (RPF) is an instrument to be used throughout the Program implementation. The RPF sets out the resettlement objectives and principles, organizational arrangements and funding mechanisms for any resettlement that may be necessary during implementation. The RPF guides the preparation of Resettlement Action Plans of individual sub projects in order to meet the needs of the people who may be affected by the project. Census: means a field survey carried out to identify and determine the number of Project Affected Persons (PAP) or Displaced Persons (DPs) as a result of land acquisition and related impacts. The census provides the basic information necessary for determining eligibility for compensation, resettlement and other measures emanating from consultations with affected communities and the relevant stakeholders. Cut-off date: Cut-off date Date of completion of the census and assets inventory of persons affected by the project. Persons occupying the project area after the cutoff date are not eligible for compensation and/or resettlement assistance. Similarly, fixed assets (such as built structures, crops, fruit trees, and woodlots) established after the date of completion of the assets inventory, or an alternative mutually agreed on date, will not be compensated. 75

76 Displaced Persons: mean persons who, for reasons due to involuntary acquisition or voluntary contribution of their land and other assets under the program, will suffer direct economic and or social adverse impacts, regardless of whether or not the said Displaced Persons are physically relocated. These people may have their: standard of living adversely affected, whether or not the Displaced Person will move to another location; lose right, title, interest in any houses, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood. Involuntary Displacement: means the involuntary acquisition of land resulting in direct or indirect economic and social impacts caused by: Loss of benefits from use of such land; relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether the Displaced Persons has moved to another location or not. Rehabilitation Assistance: means the provision of development assistance in addition to compensation such as land preparation, credit facilities, training, or job opportunities, needed to enable the program Affected Persons and Displaced Persons to improve their living standards, income earning capacity and production levels; or at least maintain them at pre-program levels. Involuntary resettlement Resettlement is involuntary when it occurs without the informed consent of the displaced persons or if they give their consent without having the power to refuse resettlement. Land expropriation -Process whereby a public authority, usually in return for compensation, requires a person, household, or community to relinquish rights to land that it occupies or otherwise uses OD 4.30 The World Bank Group Operational Directive on Involuntary Resettlement. OD 4.30 embodies the basic principles and procedures that underlie IFC s approach to involuntary resettlement associated with its investment projects. Stakeholders Any and all individuals, groups, organizations, and institutions interested in and potentially affected by a project or having the ability to influence a project. 76

77 APPENDIX 1: STAKEHOLDER CONSULATATIONS MINUTES OF PUBLIC PARTICIPATION MEETING IN THE SETTLEMENTS ON 21 AUGUST 2014 SEPTEMBER 2014 MEMBERS PRESENT NO NAME DESIGNATION As per Attached Various Attendance list AGENDA OF THE MEETING Validation of community selected priorities Share Project information with PAPs and other interested parties in regard to project To discuss the issues the PAPS had regarding the project Deliberate on best way forward of handling issues likely to result from Resettlement and environmental issues. PROCEEDINGS OF MEETINGS The meetings started at 9am hours with introductions of the parties present and opening remarks from the SEC chairs. The following were issues discussed in relation to Resettlement Action Plans 77

78 Minute 1 /07/15 Reconstruction of the structures. The residents wanted to know if they will be allowed to reconstruct their structures where they initially were after the line has been laid down. Response Safeguards team responded that reconstruction of the structures will be illegal since there is a law governing against construction of illegal structures on road reserves and way leaves. Minute 2 /07/2015 Job opportunities and subcontracts The residents wanted to know if they will be allowed to place tender fort the company they own, especially companies associated with youth and women. Discussion and Response Safeguard team responded that the procurement process will be free to the public, the contract advertised publically and all interested companies will be invited to submit their proposals for vetting, the most qualified company will be awarded the contract. Concerning the issue of job opportunities for the youths the Safeguards team informed the gathering that some of the responsible youths in the area will be considered for jobs as proposed by the ESIA project report. He was also informed that interested youth should mobilize themselves and register with the area chief so that their request for jobs can be forwarded formally to the contractor through the chief s office. Minute 3 /07/2015 Timings for Notices to the PAPs on when to commence works Generally resident wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate. Discussion and Response Yes adequate time will be given to them just before the contractor mobilizes to the ground and also this RAP and ESIA report has proposed for the them to be allowed ample time to salvage materials from their structures in addition to reconstructions assistance offered. Minute 4 /10/2014 Project Width Uncertainties 78

79 Resident wanted to know what will happen for the areas where their structures are likely to the affected by the project, they complained that in some cases the road reserves are narrow to as low as 6m while the area needed for the road is at a minimum of 9m Discussion and Response RAP team responded that areas like those ones will be given specific attention and possibility of consulting with them with an aim of properly acquiring the extra needed metres will be considered, such process will be spearheaded by respective county governments. Minute 5 /10/2014 Timings for Notices to the PAPs on when to commence works Resident of the settlement wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate. Discussion and Response Yes, adequate time will be given to them just before the contractor mobilizes to the ground an also this RAP report has proposed for the them to be allowed ample time to salvage materials from their structures in addition to reconstructions assistance offered, Minute 6 /10/2014 More Information about the Project Route Generally, PAPs wanted to know the extent of road and assets to be affected if the proposed roads will follow surveyor s beacons. Discussion and Response RAP team respondent remarked that the extend of structures to be affected will be those falling within the 12m corridor for the main settlement access roads and 9m for those falling within the internal settlement roads, yes, the project will be constructed within existing road reserve an no private land will be acquired There being no any other business the meeting closed at 5pm with a word of prayer Minutes Signed SECRETARY 79

80 PUBLIC PARTICIPATION PHOTOS Residents of Hawai Kimumu follow proceedings during Public Meeting Residents of Hill school listen to remarks from SEC chair 80

81 Public Meeting at Church hall in Kambi Nairobi settlement SEC chair for Racecourse addressing participants 81

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