REPUBLIC OF KENYA +~A. Machakos Turn Off -JKIA (29 kms); Lanet-Nakuru-Timboroa (140.6 kms); and Mau Summit-Kericho-Kisumu Road (140 kms).

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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Northem Comdor (Kenya) Road Improvement Project: Resettlement Policy Framework REPUBLIC OF KENYA +~A RPI 9O MINISTRY OF ROADS, PUBLIC WORKS AND HOUSING NOTHERN CORRIDOR ROAD IMPROVEMENT PROjECT THE STUDY ON SOCIO-ECONOMIC ENHANCEMENT AND PROVISION OF ROADSIDE AMENITIES, RESETTLEMENT ACTION PLANS AND RESETTLEMENT POLICY FRAMEWORK FOR THE NORTHERN CORRIDOR ROAD IMPROVEMENT PROJECT Maji ya Chumvi-Miritini (35 kms); Sultan Hamud- Machakos Turn Off (55.3kms); Machakos Turn Off -JKIA (29 kms); Lanet-Nakuru-Timboroa (140.6 kms); and Mau Summit-Kericho-Kisumu Road (140 kms). DRAFT RESSETTLEMENT POLICY FRAMEWORK NOVEMBER 2003 GIBB (EASTERN AFRICA) LTD., CHIEF ENGINEER (ROADS) THE PERMANENT SECRETARY P.O. BOX 30020, MINISTRY OF ROADS AND PUBLIC MINISTRY OF ROADS AND PUBLIC NAIROBI, WORKS, WORKS, KENYA. P. 0. BOX 30260, P. 0. BOX 30260, NAIROBI, NAIROBI, KENYA. KENYA. 1 ALE CGF(

2 Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework TABLE OF CONTENTS 1. Project background Basic terms of preparation of the RPF Objectives Scope of work Resettlement policy framework Resettlement action plan Impacts, land acquisition, and land resettlement Principles and objectives governing resettlement preparation and implementation Methods of valuing and compensating affected assets the process involves: compensation for loss of property Rap preparation, review and approval Legal framework for ressetlement expropriation of land for development in kenya procedures under chapter 295 of the "land acquisition act" procedures under chapter 288 of the "land acquisition act" Eligibility criteria for various categories of affected people Generic aspects of the implementation schedule, including how resettlement will be linked to civil works Grievance redress mechanisms Methods for consultation with, and participation of affected people institutional framework Mainstreaming gender issues in the northern corridor road improvement project Resettlement planning Roadside amenities.27 2

3 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 18. Project launching Monitoring and evaluation Key performance indicators External monitoring and evaluation I~~~~~~~~~~~~~~~ I

4 Northem Coridor (Kenya) Road Improvement Project: Resettlement Policy Framework 1. PROJECT BACKGROUND In expressing concern geared towards the promotion of human welfare in Kenya, the World Bank has sponsored the improvement of certain sections of the Kenyan Northern Corridor. Specifically, the distances between: (i) Maji ya Chumvi - Miritini (35 kms); (ii) Sultan Hamud- Machakos Turn Off (55.3); (iii) Machakos Turn Off -JKIA (29 kms); (iv) Lanet-Nakuru-Timboroa (140.6 kms), and (v) Mau Summit-Kericho - Kisumu Road (140 km). The goal of the project is to improve social welfare and enhance living standards of the Kenyan people through an efficient road transport network. The Northern Corridor Indeed transverses through diverse land uses with different modes of production, which include: agriculture, urban areas, mining, and wildlife and tourism zones among others. Therefore, its improvement is expected to have a widespread positive impact on overall socio-economic status and livelihoods of the road users and project-affected people (PAPs). The improvement of this corridor on the other hand, will involve funding of works namely reconstruction, dualling and upgrading of various road segments totaling kilometers. The corridor requires major investment in order to raise pavement standards to meet present and future traffic loadings. Some of the segments do require extensive rehabilitation due to excessive damage caused by sections failure. The Resettlement Policy Framework (RPF) is therefore required to guide the Corridor improvement process. Unmitigated involuntary resettlement in development projects often gives rise to severe economic, social and environmental risks which include: displaced and dismantled production systems, loss of income sources, weakened community institutions and social networks, dispersed kin groups and diminished or lost cultural identity and traditional authority. Therefore, the main objective of this RPF is to address and mitigate impoverishment risks that may arise thereof. The World Bank Operational Objectives (OD 4.30) (paragraph 26) states... 'Where the specific resettlement needs of each subproject are not known in advance, the borrower would need to agree to resettlement polices, planning principles, institutional arrangements and design criteria that meet the Bank policy and requirement conditions for funding. An estimate of the total population to be displaced and overall resettlement costs should be provided, as well as and evaluation of proposed resettlement sites. Subprojects in sector investment loans 4

5 I ~~~~~~~~~~Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework should be screened by the implementing agency to ensure consistency with this directive, and approved individually by the Bank. This RPF's sets out the framework for policies, principles, institutional arrangements schedules, and other indicative budgets to facillitate the project resettlement process. The RPF is developed based on the standards of the Government of Kenya's Resettlement policy as stated in various legal and constitutional documents and the policy of the World Bank (as provided in OP 4.12). Where there are gaps between the Bank and Government requirements the stakeholders and the team shall discuss and make appropriate choices. The RPF appreciates and provide mechanisms in which inputs from the Ministry of Lands and Settlement, Local Authorities and the Ministry of Public Works and Housing are incorporated as critical ingridients. Community participation and involvement will be highly promoted through focussed group discussions with project affected people (PAPs), discussions with key informants and participatory rural appraisal among other tools. All in all stakeholders shall be fully involved. Project affected people (PAPs) will be identified together with the host community in the area earmarked for displacement and the surrounding areas. PAPs will also be categorized. Basic terms of preparation of the RPF The purpose of the policy framework is to clarify the principle for social impact m itigation v is a v is c ompensation f or I oss o f p roperties, livelihood and relocation or resettlement. The framework also gives insight on the modalities of providing Road Side Amenities along the corridor. It is paramount that the income earning capacity of the project-affected persons (PAPs) is restored. This is in relation to supporting the Kenya Government to design and implement a transport project that benefits all Kenyans. In addition to this, there is need to: a) Provide better understanding of the poverty and social issues as well as help enhance the socio-economic impact of the proposed projects on local communities and road users through provision or modification of infrastructure and transport services. 5

6 i ~~~~~~~~~~Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework b) Identify and q uantify d ifferent c ategories o f p roject-affected p eople (PAPs) who would require some form of assistance, compensation, rehabilitation, or relocation etc. 2. OBJECTIVES The operational objective of the framework is to provide guidelines to stakeholders participating in the mitigation of adverse social impacts of the project, including rehabilitation/resettlement operations in order to ensure that project affected persons (PAPs) will not be impoverished by the adverse social impacts of the project. It implies that PAPs should be compensated for loss of wages, loss of assets at replacement costs; given opportunities to share project benefits; and assisted in case of relocation or resettlement. The aim is to improve or at least sustain the living conditions of the PAPs prior to project operations or to resettlement. For this reason, it will be necessary to prepare the Resettlement Policy Framework and a Resettlement Action Plan. a) Resettlement Policy Framework (RPF) As mentioned above, the objective of the RPF is to set out policies, principles, institutional arrangements, schedules and indicative budgets for any resettlement should it take place in the project. b) Resettlement Action Plan (RAP) This is applied to any project, which displaces people from land or productive resources which result in relocation, loss of shelter, a ssets or access to assets important to production, loss of income sources or means of livelihood etc. 6

7 I ~~~~~~~~~~Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 3. SCOPE OF WORK 3.1 Resettlement Policy Framework Given the nature of the project, the RPF is prepared to guide and govern the project in case of resettlement. Thus the RPF: * Describe why resettlement is necessary and why there needs to be an RPF. * Describe any particular conditions in the project that may present special problems or opportunities, and show how the resettlement should be done in principle so as to overcome risks or take advantage of such opportunities. * Review the national laws governing the taking of land or other assets. * Discuss the discrepancies among the various legal instruments if found. * Categorize the Project Affected Persons (PAPs) and show the type of loses such people may suffer. * Summarize what laws and regulations may apply for different categories of PAPs * Determine the method of sefting a cut- off date for eligibility for compensation. * Define the criteria that are to be used to identify the eligibility for compensatory measures for each category of PAPs. I * Explain the methods of inventorying assets, assigning values to each type of asset and coming to agreement with PAPs. * Present an 'Entitlement matrix' which shows the possible types of PAPs, losses and the forms that will be taken for each type of compensation * Describe the mechanisms available to the PAPs for complaints a bout a spects o f t heir t reatment u nder t his policy framework. 7

8 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 3.2 Resettlement Action Plan Specific resettlement plans will be done for each subproject where displacement of some sort is envisaged. In this regard, the consultant will be expected to: * Describe the relationship of the RPF to the individual RAP that will be done later for each subproject where there is resettlement. Describe the process by which each individual RAP will be submitted to the project authorities considered and approved and how entitlements will be delivered. * State the overall project organizer, who will be responsible for resettlement; and what facilities the overall resettlement officials will have available. * Describe how implementation will be carried out and how the delivery of compensatory activities will take place. * For the individual RAP, show how the PAP will be consulted throughout the process of formulation. * Estimate the overall cost of resettlement and show the source of the funds. * Provide appropriate mechanism for monitoring the effective implementation of resettlement and show how the results of monitoring will be reflected in project implementation. 4. IMPACTS, LAND ACQUISITION, AND LAND RESETTLEMENT The long-term objective of the project is to enhance the livelihood of the citizens of Kenya. However, project operations are expected to have adverse impacts, which will need to be mitigated parallel with project implementation. The main economic activities in the project area that will be affected include: current agricultural productivity such as food production and production of cash crops, marketing of agricultural produce, informal sector non-farm and jua kali income generating activities located within the project area. After a reconnaissance survey and preliminary field work, it has been observed that actual displacement of businesses and housing will take 8

9 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework place in Nakuru Town, Salama Market, Chepseon Market, Makutano (both in machakos and Nakuru Districts among other areas. Components for which land acquisition and resettlement are required are: 1. General road improvement which will affect people who have business located along road reserves People settled on areas which will be affected by construction works during the construction process 11. Dualling of certain road sections, which will affect. * Settlement along corridor sections. * Businesses located in areas earmarked for dualling * Other income-based activities located in areas earmarked for dualling. * Agricultural activities that support livelihoods that will be displaced by road development activities in particular corridor sections. It is therefore important to note that a full development process cannot be undertaken before project appraisals as there are areas where the affected activities could easily adjust to displacement without actual resettlement. 5. PRINCIPLES AND 0 BJECTIVES G OVERNING R ESETTLEMENT PREPARATION AND IMPLEMENTATION. I Resettlement plans will ideally be centered round a development strategy package aimed at improving or at least restoring the economic base of those displaced/relocated. To obtain cooperation, participation and feedback, the affected hosts and resetlers will be systematically informed and consulted during preparation of the resettlement plan about their options and rights. These steps will be taken directly or through formal and informal leaders and representatives. Experience has shown that local authorities can provide valuable assistance and ensure viable community participation by explaining the rights and options the PAPs are entitled to, as well as clarifying matters that may arise. Institutionalized arrangements, such as regular meetings between project officials and communities will be 9

10 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework provided for resetlers and host communities to express their concerns about the r esettlement program throughout planning and implementation stages. To this effect, workshops and consultative focussed group discussions will be held in cooperation with Local authorities and District Development Offices. These workshops will also ensure coordination of the tasks to be undertaken as well as planning for all the stakeholders involved at the start of each subproject. The first commitment of concerned district offices and the discussion with community groups is to help give first preference for jobs to those who will lose their lands and other e mployment b ased e nterprises t o t he p roject. Because jobs will materialize after some lag, construction contractors for the project will be required to show preference for employing displaced persons. During implementation the following will be stressed upon a) Land-based resettlement: The new site's productive potential and location advantages should at least be comparatively equivalent to those of the old site. The Bank encourages "land for land" approaches, providing replacement land at least equivalent to the lost land. F or rural settlers, irrigation, land reclamation, tree crop development, intensification of production and other innovations can provide adequate production potential on limited amounts of land to resettle agriculturalists. b) In selecting sites, attention must be paid to the availability of sources of off-farm income (fishing, gathering, forest products, seasonal wage employment) to compliment farm income. For urban resetlers, the new site should ensure comparable access to employment, infrastructure, services and production opportunities. If relocation of business becomes necessary, access to customers and suppliers will be taken into account. In addition workers losing employment in the process of relocating should be entitled to transitional income support. For both rural and urban resettlement, the consultant firm will: n Develop institutional and technical arrangements for identifying and preparing relocation sites e.g., pooling together small plots, wasteland reclamation, land leveling, and terracing. * Draw up timetables and budgets for site preparation and transfer * Make legal arrangements for transferring titles to resetlers. This will include legal arrangements for regularizing tenure. 10

11 Northem Coridor (Kenya) Road Improvement Project: Resettlement Policy Framework Consider, when necessary, a temporary freeze on land transactions within the relocation area to prevent land speculation or influx of ineligible persons. Though the Bank does not normally disburse against land acquisition, it can finance land improvement and accommodate resetlers. c) The Consultant, CBOs and Government agencies (including representatives from County/Town Councils) will visit the sub-projects; report the progress of resettlement in progress reports. Follow-up Workshops' purpose will be to solve pending issues and suggest corrective measures to be fed back into the project as the implementation goes on. 6. METHODS OF VALUING AND COMPENSATING AFFECTED ASSETS 6.1 The methods to be used to conduct the valuation of property for resetlers are replacement and compensation. The consultant will adopt legally acceptable valuation procedures accepted by both the Government of Kenya and World Bank for purposes of fairness and consistency. This will consider replacement costs, types and levels of compensation under the Kenya law. Valuation of lost assets will be made at their replacement cost. The replacement cost approach is based on the premise that the costs of replacing productive assets is based on damages caused by project operations. These costs are taken as a minimum estimate of the value of measures that will reduce the damage or improve on on-site management practices and thereby prevent damage. The approach involves direct replacement of expropriated assets and covers an amount that is sufficient for asset replacement net depreciation, moving expenses and other transaction costs. This minimum value is then compared to the cost of new measures. This is arrived at, by analyzing current construction costs workmanship and final finish. relative to design, materials employed, In line with the principles of "equivalent reinstatement" if the premises to be reinstated require repair, a deduction to reflect this will be made. The deduction for repairs is made in accordance with the principle, that the reinstated property should as far as possible be equal to the property being reinstated.

12 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 6.2 The basis of the valuation is Gross Current Replacement Cost (GCRC). Gross Current Replacement Cost is defined as the estimated cost of erecting a new building having the same gross external areas as that of the existing one, with the site works and services on a similar piece of land. The valuation process will also consider the use of "compensation value" for the affected properties. 6.3 Other methods of valuation are: d Rates quoted by contractors for similar structures in other construction projects/programs When rate schedules do not exist or are out of date, recent quotations by contractors for similar types of construction in the vicinity of the project can be used for calculating replacement costs. In projects offering the options of cash compensation or alternative accommodation, the construction cost estimates for alternative accommodation could be used for calculating cash compensation payable. * Schedule of rates obtained from the Chief Valuer, Commissioner of Lands Office, Ministry of Lands and Settlement The Materials departments have a schedule of rates for preparing estimates for construction projects, which the consultant can use to assess costs for construction materials and labor. When applied to calculation of replacement cost, rates current for the period of actual replacement must be used. 6.4 The process involves: A Team including Consultants, Ministry of Lands Officials, County/Town Council representatives, elders, and villagers will visit the affected area. Each asset will be enumerated and inscribed on a questionnaire register. Values of each asset will be pre-printed, shown to the affected person, and set against the type and number of such losses that the individual will be shown, and the total of all losses as well. The inventory and evaluation will be signed and a copy given on the spot to the affected person. The form will say, and the affected person will be notified, that the inventory will not be official until a second signed copy, verified by project supervisory staff, is returned to the affected person. At this time, a copy of the grievance procedure will also be given to the affected person. 12

13 * I ~~~~~~~~~~~Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 6.5 Compensation for loss of property Compensation will be facilitated by (a) paying special attention to the adequacy of the legal arrangements, concerning land title, registration, site occupation (b) publicizing among people to be displaced the laws and regulations on valuation and compensation (c) establishing criteria for determining the resettlement eligibility of affected households, e.g., households that have only partially lost their assets but are no longer economically viable. Compensation for land, structures, business, fixed improvements and other temporary assets will be based upon market valuation, disposition for salvage materials and other fees paid. Lack of title, license or permit will not bar compensation because even squatters have construction costs relative to design, materials employed, workmanship and final finish. The assessment will be undertaken in consultation with affected communities * (by use of interviews, representatives) and relevant (central and local) government agencies. The Kenyan law recognizes compensation for loss of property due to implementation of development projects. The law includes houses, crops and trees. It also recommends a fair compensation for loss of property. The government has established a compensation principle, and that is, compensation for loss of property is paid at market value. Property loss falls under four categories namely: * Property owners * Business tenants * Residential tenant * Encroachers (using land) * Squatters a) Property owners The property owner is to be compensated by land replacement at new site and paid for the crops and trees at market price. Where he has lost structures (business or residential), compensation is at full value and not depreciated. For loss of rental income, a lump some cash payment of 6 months rent per tenant is to be paid, as well a disturbance fee of $ 100. Fences made of wood or wire is to be compensated at $ 3 per meter and for hand-dug wells the property owner is to be compensated at $

14 Northem Coridor (Kenya) Road Improvement Project: Resettlement Policy Framework b) Business tenants. Payment of half of turnover for 6 months is to be paid and replacement cost for assets that cannot be moved c) Residential tenant He/she is to be paid 6 months rent equivalent for disturbance. He is also to be compensated for the assets that cannot be moved. d) Encroachers These are compensated by relocating to site of choice with payment of rental fee for land. For crops, fences and wells they are to be paid as mentioned above. e) Squatters For compensation the squatters are to be compensated at full replacement value for structures, relocation to resettlement site with payment for site rent. There will also be payment of lieu wages while rebuilding and a disturbance cost of $ 100. The "Land for land" compensation will be applied to PAPs who might lose their land, the compensation taking into account: i) The legal status of the land to be compensated; ii) The quality of land as regards its utilization and iii) The quantity and the number of people using the land as the main source of income. The Kenya community law states that all land belongs to the Government and in case of expropriation the land is to be compensated at market price. Private professional agencies such as Private and independent real estate agencies, banks or mortgage firms are engaged in determining market values for land, or to evaluate the adequacy of administratively set compensation. The local governments through purchase will acquire the land required. The Collector of Compensation or valuation expert in consultation with field Valuation Officers at the Ministry of Lands will establish the value of the land. PAPs, who will lose their titles, will be provided new land with titles. Those without titles will also be provided land in accordance to the legal status of the land previously cultivated or exploited. Economically marginalized PAPs with reduced access to land will be given particular attention by providing them with more land in order to enhance the sources of livelihood 14

15 Northen Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework 6.6 Replacement cost for other assets: * For public infrastructure: - In-kind replacement under the force account within an agreed time schedule, or full compensation to the agency replacing the service is required e.g., public phone booths. * For cultural property and community-owned facilities: In-kind replacement or compensation at replacement cost for land and structures (e.g., religious churches, mosques, private of communityoperated schools, village meeting houses, local libraries) * For cash crops: Arrangements should be made to allow for harvest or market value should be paid for lost cash crops. The annual market value of crops for the previous 3 years is deemed appropriate as crop compensation. * Other assets: Tube wells, graves, fishponds, poultry houses, fences and other tangible assets should be replaced in kind (or with functional equivalents), relocated or be compensated at replacement cost The consultants together with the Ministry of Roads, Public Works and Housing, Ministry of Finance and local government agencies will conduct the execution of the expropriation/compensation operations. PAPs will be consulted about compensation arrangements prepared. Cash compensation amount and size of land offered for compensation will be presented to each eligible PAP for consideration and endorsement before cash payment for land can be affected. It should be noted that costs of construction vary from one locality to another. 7. RAP PREPARATION, REVIEW AND APPROVAL The RPF and the individual RAPs are fully complementary to one another. The more that is agreed in the RPF, the less that needs to be discussed in each case (subproject) for example, the cost of compensation for fruit trees can be calculated a number of different ways. A decision on the method, or actual compensation for different kinds of trees at different stages of their maturity, that is recorded in the RPF, is much better than having each subproject make new decisions. The local authority at the district level may screen the RAPs to ensure that they are running under fair processes. But, for complicated subprojects, formal review agencies may assist or control the RAPs. For large RAPs, the Bank acceptance will have to be sought. 15

16 Northem Comdor (Kenya) Road Improvement Project: Resettlement Policy Framework 8. LEGAL FRAMEWORK FOR RESSETLEMENT 8.1 Expropriation of land for development in Kenya Expropriation in this context refers to the taking away of private land and landed property for public purpose by the government with or without the owners consent subject to laws of eminent domain, which stipulates prompt and adequate compensation among other things. Different terms are used in different English speaking countries, In Kenya "setting apart" for unregistered Trust Land and "Compulsory acquisition" for all registered private lands are the terms commonly used. Expropriation of land is a very important aspect in land management in that it is the instrument by which land is availed for various development needs e.g. Road Infrastructure, Housing, Industrial purposes or Town Planning or if the development and utilization of the said land is to promote public benefit. In Kenya expropriation is provided for in the Constitution under section 75 for private land and sections 117 and 118 for unregistered Trust Land. But the constitution only gives general guidelines. The detailed procedures for acquisition are elaborated under the "Land acquisition Act" in chapter 295 for private land and chapter 288 for unregistered Trust Lands. "Trust Land" refers to that land that is still held under African customary tenure. The title to this land is said to vest in the County Council in trust for its inhabitants, hence the term "Trust" 8.2 Procedures under Chapter 295 of the "Land Acquisition Act" In short, a formal request should be submitted to the "Commissioner of Lands" by the benefiting authority, e.g. a municipal council in case of urban areas. Any other public body or Government may request for acquisition this way. The Commissioner will then forward the application to the Minister in charge of lands. If the minister is convinced that the land is required f or p ublic p urpose, h e w rites t o the commissioner to that effect, and directs him to acquire the land (Section 6(1)). The Commissioner will then give "Notice of Intention" to acquire the land (section 6(2)) in the "Kenya Gazette" side by side with the "Notice of Inquiry". The "Notice of Intention" must mention the public body or the public purpose for which the land is to be acquired. The "Notice of Inquiry" mentions places and fixed dates when persons interested in the subject land are to submit their claims to the Commissioner of Lands or his 16

17 I Northem' Condor (Kenya) Road Improvement Project: Resettlement Policy Framework appointee (a "Valuation Officer" also known as "Collector of compensation") according to Section 9. Meanwhile the Collector of Compensation is supposed to inspect the said land and value it for compensation. After the inquiry the Collector will issue and award depending on his own assessment and the representations of interested parties as submitted at the inquiry (Section 10 and 11). The award is issued in a prescribed form, together with a statement form. The former indicates the amount of compensation awarded while the latter gives the landowners option of acceptance or rejection of the award. If the landowner accepts the award, the collector will issue a cheque in settlement together with a formal "Notice of Taking Possession and Vesting" (section 19). The notice instructs the landowner to take his title for amendment or cancellation. It is copied to the Government surveyor and the land registrar to make necessary changes to the affected deed. On the other hand if the owner rejects the award, the collector deposits the money in court pending the former's appeal. Compensation is based on open market value. 8.3 Procedures under Chapter 288 of the "Land Acquisition Act" "Setting apart" carried out at the instance of the state will involve the following procedure. The President will write to the local authority in charge of the said Trust Land informing the Council that the land is required for public purpose by a public body. The Council is supposed to deliberate the matter at a full council meeting and give consent. The "District Commissioner" in charge of the affected area will then proceed to ascertain interests, determine areas and assess compensation for the land after which he is to issue an award. In case of acquisition at the instance of the County Council itself, the whole process is repeated except that this time the President is not involved in giving directions. It starts with a full council meeting. 9. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF AFFECTED PEOPLE There is need to carry out a census to identify the persons who will be affected by the project to determine who is eligible for assistance and benefits, and to discourage inflow of ineligible people. The consultant will assess the level of asset loss as either temporary or permanent and assign economic values to them. To effectively do this the survey will undertake asset inventory survey for PAPs. 17

18 Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework This will be done through interviews, group discussions and review of existing documentary evidence (such as permits and licenses) for assets to be lost in road improvement project. There will be a review of whether the asset is individually owned or belongs to a group. The involuntary taking of land results in: Relocation or I oss o f s helter, I oss o f a ssets o r a ccess t o assets or loss of income sources or means of livelihood, whether or not the PAPs must move to another location or not. Therefore meaningful consultations with the affected persons (directly and through representatives), local authorities and appropriate NGOs allows for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. Eligibility criteria will also be determined by the status of development up to when the study starts and will further be determined by other development approval as issued by both central and local government offices. The key local authorities to be interviewed by the consultants will include D istrict, Divisional and location government officials such as the District! divisional agricultural officer, the District officers, chiefs and sub-chiefs. Other persons include: identified large and small-scale farmers, businessmen and businesswomen, women leaders and other leaders of social groups. Displaced persons may be classified in one of the following three groups: a. Those who have formal legal rights to land (including customary ad traditional rights recognized under the laws of Kenya). b. Those who do not have formal legal rights to land at the time the census begins but have a claims to such land or assetsprovided that s uch c laims a re r ecognized u nder t he I aws o f the country or become recognized through an identified process. c. Those who have no recognizable legal right or claim tothe land they are occupying. The process will involve review of tenure documents owned by occupants, interviews with households and groups in the affected area. Local authorities and central government's ministry of Land concerned with land ownership and management will also hold the consultant. Persons covered in a) and b) are provided compensation for the land they lose, and other assistance ensuring that they are 18

19 Northern Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework i. Informed about their options and rights pertaining to resettlement. ii. Consulted on, or offered choices among, and provided with technically and economically feasible resettlement. iii. Provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. Land for land compensation will be applied to PAPs who might lose their land Persons covered under c) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the policy objectives, if they occupy the project area * prior to the cut off date. Persons who encroach on the area after the cut off date are not entitled to compensation or any other form of resettlement assistance. All persons affected by the project are provided compensation for loss of assets other than land. There will therefore be a package of compensation and other resettlement measures to assist each category of eligible displaced persons to achieve the objectives of the policy. Eligibility criteria will also be determined by: 1) Loss of property: This includes loss of: houses, crops and trees, structures, fixed improvements, businesses which should be compensated at market valuation, negotiated settlements, productivity valuation, material and labor valuation. In cases where the loss is partial then disposition of salvage material will be exercised. Cash payments may also be made if a small fraction of property is lost instead of replacing the whole property, but if the partial loss results in the PAPs not being economical viable then the property is replaced. Those who loose houses will also be assisted with temporary residence (if necessary). 2) Loss of wages and income: These are persons who will loose their income due to the project. Workers losing employment in the process of relocation should be entitled to transitional income support. Compensation equivalent to lost income required for the duration of impact should be paid to the latter. 19

20 Northem Coridor (Kenya) Road Improvement Project: Resettlement Policy Framework In addition, PAPs will be entitled to transitional assistance, which include moving expenses, temporary residence (if necessary), and employment in the project while waiting employment. In difficult cases, local authorities such as chiefs may be used to judge eligibility as well as village committees. Cut off dates are essential in the process of drawing up lists to ensure that ineligible persons do not take the opportunity to claim eligibility. The cut off date for this project has been determined as September 15, 2003, making anyone who makes a claim for loss of land or any assets after this date ineligible for expropriation/compensation. It is also important to note that the eligibility m ay b e c laimed c ollectively e.g., as a community or religious group and does not necessarily have to be individuals or families. 10. GENERIC ASPECTS OF THE IMPLEMENTATION SCHEDULE, INCLUDING HOW RESETTLEMENT WILL BE LINKED TO CIVIL WORKS The social impact assessment will be conducted parallel with the design of the master plan for the road so as to determine the number of PAPs and to assess demand of needs of the displaced persons. The needs are such as, housing, water, health facilities and sanitation. I8 Target dates for achievements of expected benefits to resetlers and hosts are to be set. Disseminating various forms of assistance to them will be done. Planning and coordination of the tasks of the various actors is key to successful implementation. To achieve this goal, workshops will be organized with the stakeholders and other relevant government agencies, at project launching and at the commencement of every subproject identified to have adverse social impacts. The stakeholders will be requested to participate in the decision making process and provide inputs in the area of their expertise in order to establish a coherent work plan or schedule. PAPs will also be consulted with the aim of obtaining their positions on issues at stake. The requirements of their work/programs/business activities will be incorporated in the expropriation/compensatory plans. The workshops will focus on: * Taking stock of the legal framework for compensation. a Settling institutional arrangements and mechanisms for payment of compensation. 20

21 * Northern I Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework * Defining tasks and responsibilities of each stakeholder and * Establishing a work plan. A month-wise implementation schedule of activities is to be undertaken and will be a topic of discussion at the next workshop. This way, they will be able to feed back on the implementation process, any curative measures or improvements. The project staff /local authorities/consultants will conduct this under the leadership of a resettlement expert. 11. GRIEVANCE REDRESS MECHANISMS Grievances may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual * implementation. Compensation committees including representatives of PAPs will establish the compensation rates. During the initial stages of the valuation process, the affected persons are given copies of grievance procedures as a guide on how to handle the grievances. The process of grievance redress will start with registration of the grievances to be addressed for reference, and to enable progress updates of the cases. The project will use a local mechanism, which includes peers and local leaders of the affected people. These will ensure equity across cases; they eliminate nuisance claims and satisfy legitimate claimants at low cost. The response time will depend on the issue to be addressed but it should be addressed with efficiency. Compensation will be paid to individual PAPs only after a written consent of the PAPs, including both husband and wife. Should a PAP refuse the compensation suggested, he/she could appeal to the County Councils. A technical committee of regional development at the district level will first revise his/her case. Then the committee will draft its * inclusions and submit them to the District board for deliberation in the aim of settling the differences. And when these have failed the individual PAP has the right to take his case to the civil courts for litigation. 12. METHODS FOR CONSULTATION WITH, AND PARTICIPATION OF AFFECTED PEOPLE The involvement of involuntary resetlers and hosts in planning prior to the move is critical. Initial resistance to the idea of involuntary resettlement is to be expected. To obtain cooperation, participation, and feedback, the affected hosts and resetlers need to be systematically informed and consulted during preparation of the resettlement plan about their options 21

22 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework and rights. They will also be able to choose from a number of acceptable resettlement alternatives. Particular attention must be given to vulnerable groups such as indigenous people, ethnic minorities, the landless, and women to ensure that they are represented adequately in such arrangements. The plan should address and mitigate the resettlement's impact on host populations. Host communities and local governments should be informed and consulted. Any payments due the hosts for land or other assets provided to resetlers should be promptly rendered. Conflicts between hosts and resetlers may develop as increased demands are placed on land, water, forests, services etc., or if the resetlers are provided services and housing superior to that of the hosts. Conditions and services in host communities should improve, or at least not deteriorate. Providing improved education, water, health and production services to both groups fosters a better social climate for their integration. In the long run, the extra investment will help prevent conflicts and secure the project's aim. Successful resettlement requires a timely transfer of responsibility from settlement agencies to the resetlers themselves. Otherwise, a dependency relationship may arise, and agency resources may become tied up in a limited number of continually supervised schemes. Local leadership must be encouraged to assume responsibility for environmental management and infrastructure maintenance. Relocating or compensating people implies communication or dialogue with the stakeholders. The consultation and participation process will include i. Data collecting ii. Preparation and collecting operation iii. Implementation of operation iv. Monitoring and evaluation. The project will coordinate all four operations. Data collecting phase After familiarizing themselves with the project area through reading and consultations with the Ministry of Roads, Public Works and Housing officials, the consultants will design appropriate questionnaires intended for data collection at corridor section levels. The levels will vary from households to community groups, based on the TOR. The consultant will design questionnaires for data collection from various households, 22

23 * Northem' I Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework organizations and institutions such as women groups, farmers' associations, individual farm units, primary and/or secondary schools, health centers and agricultural cooperative unions or individual farm units, depending on the nature of information source. All the actors will constitute the main taskforce in the collecting phase. PAPs will be consulted to participate in the data-collecting phase by providing socio-economic information about their livelihoods. This could be done through use of forms, questionnaires and interviews. Persons or groups of persons at the corridor sections, location, village levels, or household levels to be interviewed will also be identified and selected through stratified random sampling. Those to be interviewed include: * Those directly affected by physical works * 30 households for each road section 3 The PAPs will be consulted through "town hall" meetings at municipalities and other local government facilities to share information about the project, discuss social impacts of project operations and the mitigation measures suggested. The contribution of the PAPs will be integrated into the subproject implementation process, from planning to evaluation. Furthermore, data about socio-impacts of the subprojects and the mitigation measures suggested will be provided to local newspapers and radio stations. The data - collecting phase includes three major processes: a) Preparation of resettlement/ rehabilitation policy framework, which sets many parameters which resettlement, will be carried out. b) Execution of the small impact assessment (to be initiated/completed at project launching) c) Establishment of the presumed RAP (to be completed before civil works) The data collected will serve as instruments for the monitoring if the social mitigation measures. Implementation operation During implementation, the PAPs will need to be informed about their rights and options, at which point they will have their say and discuss matters that need clarification. Cash compensation amount and size of land offered for compensation will be presented to each eligible PAP (husband and wife) for 23

24 Northem Corridor (Kenya) Road Improvement Project: Resettlement Policy Framework consideration and endorsement before cash payment or land compensation can be effected. A committee of peers will be set up for grievance redress. Monitoring and evaluation phase The PAPs representatives will participate in the project completion workshops, to give their evaluation of the impacts of the effects of the project. They are also to suggest corrective measures, which may be used to improve implementation of other subprojects. After completion of all expropriation/compensation operations, the PAPs will be consulted in a household survey 13 INSTITUTIONAL FRAMEWORK The project is under the administrative authority of the Ministry of Finance. Policy and strategic decisions about the subprojects are however made by a consultative body, constituted of: * Ministry of Finance * Ministry of Lands and Settlement (Physical Planning Department) * Ministry of Regional Development * Ministry of Roads, Public Works and Housing * Ministry of Agriculture * Ministry of Local Governments. The Local Authorities involved are o Kilifi County Council o Kwale County Council o Kericho County Council o Nakuru County Council o Kisumu City Council o Narok County Council o Machakos Municipal Council * Local NGOs These make decisions about the policy direction of the project and subprojects. The execution of the project is delegated to the project coordination office constituting of sector specialties such as the Department of Physical Planning and supported by a technical advisory body made up of the experts such as chief roads engineer, director of surveying and the chief valuer. The members of the advisory body are composed of directors 24

25 Northern Corrdor (Kenya) Road Improvement Project: Resettlement Policy Framework of relevant ministries. Project operations regarding resettlement] rehabilitation will be coordinated and monitored by the coordination office. The municipalities, County Councils and other local authorities will also assist them. These will be provided with the adequate resources for capacity building inclusive of training and funding. The office of studies and planning at the Ministry of Agriculture will effect the valuation of crops and trees. The Ministry of Roads Public Works and Housing, will conduct the valuation of houses. Municipalities, county councils and city councils will effect payment of compensation. The project will benefit from recruiting a scientist to the roads reform unit, and the chief engineer of roads to plan, manage and monitor the implementation of the social mitigation measures. To let the head of the unit manage those tasks would not only overwhelm his workload; it would also be irresponsible, as he may not be trained to address such issues. 14 MAINSTREAMING GENDER ISSUES IN THE NORTHERN CORRIDOR ROAD IMPROVEMENT PROJECT Consultants special focus groups discussions with women groups, will address these issues. Community Based Organizations that address women issues in the corridor area, central and local government officials. Some issues will be addressed through the household questionnaire. These will include: * Access to health centers for those who are pregnant and in need of antenatal care and those who require postnatal care as well as for their young children. j * * Also, home gardens for women will be restored with equivalent facilities in terms of access to water. In the rural areas the accessibility of rivers and forests, which are their primary source of portable water and firewood respectively, has been looked into, whereas in the urban areas, the relocation considers water supply and fuel for various domestic purposes. Environmental management will also provide benefits in the long term (compensatory a forestation) as it replaces and replenishes forests that are essential for water and firewood. * Accessibility of schools. This especially affects the primary school enrolment with the girl-child being most affected. Accessibility to schools will ensure that enrolment is made easy as w ell a s r educe t he s chool d ropout r ate (the g irl-child w ill be 25